Support the Chief Compliance Officer in designing and managing compliance programs for affiliated registered investment advisers
Serve as a key advisor to investment, product, legal, distribution, and operations teams on compliance considerations related to new business initiatives and product development
Help cultivate a strong compliance culture by driving awareness of regulatory expectations and encouraging early incorporation of compliance perspectives
Draft, review, and enhance policies and procedures aligned with the Investment Advisers Act and other applicable regulations
Prepare required regulatory filings and documentation
Oversee periodic compliance risk assessments and contribute to the development of mitigation plans
Assist with regulatory examinations, inquiries, and related responses
Analyze complex regulatory or business issues and provide practical, risk‑aligned recommendatio...
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