Chief Compliance Officer, Investment Advisor Representative
Current- Manage and execute policies and procedures, professional standards, accepted business practices, and internal systems of control necessary to achieve compliance to state and federal laws and regulations in the.
- Monitor and test policies and procedures to ensure they can result in compliance
- Conduct risk assessments and compliance reviews to ensure policies and procedures are being followed
- Responsible for establishing and setting the tone of compliance throughout the organization
- Familiar with Federal Securities regulations such as the Investment Company Act of 1940, the Investment Advisers Act of 1940, Securities Exchange Act of 1933, and Regulation CF, etc.