Manage the firms regulatory filings across multiple regulatory bodies
Conduct testing and collaborate to implement enhancements and solutions across the compliance program
Serve as subject matter expert on a variety of compliance areas
Requirements
BA/BS degree
A minimum of 5 years of experience in relevant compliance or operations experience at an SEC registered investment adviser or service provider with a history of competence and increased responsibility
Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940, Securities and Exchange Act of 1934, Securities Act of 1933 and FINRA and ERISA regulation.
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