RIA Compliance Officer recruitment
POSITION CONTENT 1. Plans, manages and directs the operation and development of the Firm’s RIA compliance functions. Scope includes: maintaining and monitoring policies and procedures for compliance with relevant regulation and industry best practices; maintain Firm’s ADV Part II, schedule F and other disclosure documentation; reviewing home-office compliance with relevant investment advisory regulations, oversight of the exception reporting process, and reviews and approves advisory agreements and 3040 transactions.35% 2. Reviews RIA contracts, disclosure documentation and marketing Read more […]
May 27, 2012
• Tags: Compliance, Legal careers in the USA, RIA Compliance Officer recruitment • Posted in: Financial • Comments Off on RIA Compliance Officer recruitment