CLO/CCO Asset Manager
Responsibilities:
Manage all aspects of the firms legal and compliance functions and associated risks
Set tone for overall integrity and culture of compliance at the firm
Manage conflicts of interest and determine fair resolution of errors
Negotiate and review contracts and guidelines for new separately managed accounts
As well as sub-advisory agreements
Negotiate and review any issues with subscription documents
Review all contracts with third party vendors
Periodically review investment guidelines on existing accounts
Review and update subscription documents, blue sky and ADV filings
Keep abreast of all new rules and change existing documents or complete new reports to be in compliance with changing advisory environment (such as Large Trader or Form PF)
Ensure a strong compliance culture, including regular employee education
Review and update the Compliance Manual and Employee Handbook
Manage outside law firms Solicit help from outside law firm or auditors when necessary
Approve personal trades and related compliance
Review all employee emails for compliance
Participate in quarterly best execution and broker review meetings
Participate in client due diligence meetings
Participate in annual budget meetings
Approve, from a legal and compliance perspective, client presentations, website, RFPs and any other external documents or communications
Maintain records and files of all relevant contracts, agreements
Manage all insurance, including health, EO, Fidelity, Property, General Liability, Workers Comp, Crime and Cyber Liability
Manage new employee introduction process.
Oversee work with Nesteggs and Monitor 401K contributions.
Advise on employee performance and disciplinary issues, resolution and terminations
Oversee annual compliance DOL Reporting for Taft Hartley accounts on direct and indirect compensation
Oversee updates to ADV and distribution to existing clients
Alert clients to any changes at Johnston Asset; i.e. Ownership changes, policy changes
Oversee annual Product Presentation mailings to all required contacts
Able to build strong relationships across the firm, with clients and external service providers
Candidate must have experience handling Separately Managed Accounts Thorough knowledge of GIPS rules - no exceptions
Highest level of integrity
Knowledge of EZE Castle
Good communication skills
Strong judgment
Proactive approach
Able to build strong relationships across the firm, with clients and external service providers
Culturally additive
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