About the role/Scope of work:

• Maintain that employees are adhering to compliance policies and procedures on a periodic basis.
• Periodically review client recommendations and performance.
• Periodically review the email and social media usage of registered
• Periodically review the company trade blotter and clients books and
• Provide Compliance support and guidance on strategic initiatives and regulatory
• Assist with designing and delivery of compliance training to the
• Assist with the review of marketing
• See that annual requirements are delivered upon as outlined by the
   

MINIMUM REQUIREMENTS:

• Minimum of 3-5 years of working within the financial services industry, with knowledge and good understanding of SEC rules preferred.
• Knowledge of asset management compliance program related rules and
• Strong analytical and problem-solving
• Highly organized and detail-
• Excellent communication skills (oral and written), with the ability to work on multiple tasks simultaneously.
• Self-motivated.

• Flexible team
• IT skills (MS Excel/MS Word)
  
  

VALUES:

• Client Focus – demonstrates clear understanding of importance of effective customer service, internally and externally
• Trust – evidences high standards of integrity and openness
• Teamwork – demonstrates ability to work effectively as a member of a team, a collaborative style, and understands the value of diversity
• “Outperformance” – evidences the ability to exceed expectations of others