Compliance Consultant
Core
Co-lead the firm's Code of Ethics program and support corporate compliance initiatives to maintain ethics and regulatory compliance.
Role type
Compliance Consultant
Builds
Corporate Compliance Program and Code of Ethics adherence
Domain
Financial Services / Asset Management
Deliverable
dashboards & analysis
Required skills
Securities regulatory knowledge, Risk investigation, Compliance technology proficiency, Training development, Control design, Analytical thinking
Responsibilities
Monitor employee personal trading activity and investigate potential violations, Prepare reporting for the Code of Ethics Committee and Fund Boards, Develop and deliver compliance training programs, Monitor gifts, entertainment, and business expenses, Identify emerging regulatory requirements and design controls, Leverage technology to improve compliance processes