Director Of Operations
Current- Oversees several operational functions within the firm including client portfolio trading, portfolio accounting and reporting, management fee billing, risk management, IT management, and other back office functions. - Additional role as Compliance Manager responsible for ensuring employee adherence to company Compliance Program & Code of Ethics. Responsible for the Firm's state/FINRA registrations, monitoring of the firms Privacy Policy for client data, and Business Continuity Plan… Show more - Oversees several operational functions within the firm including client portfolio trading, portfolio accounting and reporting, management fee billing, risk management, IT management, and other back office functions. - Additional role as Compliance Manager responsible for ensuring employee adherence to company Compliance Program & Code of Ethics. Responsible for the Firm's state/FINRA registrations, monitoring of the firms Privacy Policy for client data, and Business Continuity Plan. Monthly reporting directly to the CEO/CCO. Show less