• Monitor compliance with client investment policies/guidelines, regulations, internal policies and procedures and the firm’s strategy objectives.• Conduct regular reviews and risk assessment of our current processes, policies and procedures to identify potential compliance vulnerabilities and risks; help to resolve compliance issues or violations and develop/enhance compliance controls designed to prevent, detect or mitigate risks or compliance violations and improve efficiency of our program. • Assistance with drafting, reviewing and implementing compliance policies and procedures and new compliance initiatives.• Collection and preliminary review of required regulatory employee reporting.• Assistance with training employees on regulatory and compliance issues.• Assistance with oversight of the firm’s record retention process and requirements• Assistance with the marketing/advertising material review process• Assistance with regulatory filings• Assistance with reporting and document production for regulatory exams and audits• Work with compliance consultants and/or outside counsel on projects or initiatives• Help to develop and implement efficient compliance processes and workflows as our business grows and changes.

Performed a variety of key investor relations functions, addressed inquiries of current and potential clients. Communicated with the marketing department regarding investor relation projects, and maintained client database. Developed spreadsheets to improve and inform quality and risk-assessment plans. Prepared meeting agendas and carefully monitored all action items.• Composed & edited correspondence, internal memos and reports.• Maintained daily agenda, appointments and business contacts.• Scheduled /coordinated business meetings, corporate travel and agendas.• Organized data and maintained all department filing systems.