Developing compliance programs to ensure adherence to internal company policies, procedures, processes and external laws, rules, and regulations;
Confirming that activity in client portfolios is consistent with client investment guidelines and client- directed trade allocations;
Monitoring personal trading activities for evidence of market timing, insider trading or appearance of conflict;
Educating departments across the company to assist them in their understanding of regulatory and legal obligations;
Preparing and filing required regulatory reports outlining actions taken in resolution of customer complaints;
Monitoring firm’s maintenance of client records to ensure they are secure from unauthorized alteration or use; and
Developing and maintaining the firm’s policies and procedures, including Anti-Money Laundering procedures.