Investment Advisor Compliance Officer recruitment
Major Duties and Responsibilities• Involved in all aspects of the investment advisory business from a compliance stand point• Design and implement robust enterprise-wide compliance program to identify, monitor, review, and test areas of regulatory compliance risk• Manage the Code of Ethics program• Interface with senior business and investment leaders on a daily basis to provide regulatory guidance on investment transactions and respond to regulatory inquiries regarding firm activities• Participate in audits and assist in the management of regulatory examinations• Perform employee Read more […]
February 2, 2012
• Tags: Compliance, Investment Advisor Compliance Officer recruitment, Legal careers in the USA • Posted in: Financial • Comments Off on Investment Advisor Compliance Officer recruitment