Investment Banking Client
Office Status: Hybrid
- Perform periodic compliance reviews, including forensic testing and management reporting on results. Work closely with firm’s various functional teams on implementing, monitoring and updating all necessary compliance policies and procedures.
- Conduct ongoing Code of Ethics monitoring and manage conflicts of interest.
- Review electronic communications.
- Administer compliance training.
- Review transactions to ensure the firm’s compliance with guidelines, best execution, and other internal policies.
- Assist with the firm’s regulatory filings (Form ADV, Form PF, CPO-PQR, CTA-PR, Form D, 13F, etc.)
- Assist with information/document requests from the regulators, auditors, and compliance consultants.
- Review pitch books, monthly reports, DDQs and other marketing documents. Participate in investor operational due diligence meetings
- Conduct service provider due diligence.
- Perform investor qualification and AML/KYC verifications for new clients / investors
- Provide advice and support to marketing and operational teams for new business initiatives
- Keep the firm current with new rules, regulations and other legal and compliance requirements and updating all necessary colleagues in a concise, practical manner
- Interact with and report compliance matters to the foreign parent company’s compliance team