Compliance Analyst
Current* General administration of Fortress’s global compliance program* Conducting quarterly and annual reviews to comply with domestic and international regulatory reporting (including SEC, NFA, FINRA, MAS, and other regulators)* Reviewing information disclosed in compliance forms (quarterly/annual personal trading report, initial holdings, conflicts questionnaire, political contribution history, ADV disclosure, etc.) for internal employees* Processing employee requests and fielding questions relating to personal trading, private investments, political contributions, gifts and entertainment and other Code of Ethics related matters* Assisting with the administration of the firm’s NDA process