The Compliance Officer works directly with the Chief Compliance Officer (CCO) in administering the firm’s compliance program, which is reasonably designed to mitigate the risk of violating legal, regulatory, or firm requirements. The Compliance Officer partners with the CCO to assure compliance with securities laws and minimize business risk The position leads projects primarily focused on the on-going development and implementation of the compliance program, monitors entity and employee compliance with established policies and procedures and follows up on any deficiencies identified to ensure timely resolution.
Essential Duties and Responsibilities
Required Skills and Experience
Education and Job Experience Requirements
This position is currently accepting applications.