Supervises, develops, maintains, and measures investment compliance policies, procedures, and controls.
Administers annual certifications, brokerage account reporting, conflict disclosures, regulatory reporting and employee attestations.
Manages critical compliance related ad-hoc and special projects from inception to implementation.
Monitors regulatory developments and researches industry changes, trends, and best practices to recommend new or revised procedures as necessary.
Monitors client portfolios for compliance with investment policy and statutory investment limits.
Reports routine and complex compliance exceptions and materials to senior leadership.

7+ years of experience in investment compliance, including policy development, monitoring, regulatory reporting, and risk assessment.
Compliance, Compliance Frameworks, Compliance Policies, Compliance Programs skills.

Comprehensive technology setup, including a laptop, monitors, headset, keyboard, and mouse.
Monthly connectivity reimbursement to help offset internet costs.
Ability to work from home with a dedicated, private workspace free from distractions.

Investment Compliance Expert

Key skills