Vice President - Manager, Compliance Communications
Current• Perform reviews of advertising and sales literature• Analyze, assess and resolve issues arising during ad-hoc and recurring surveillance reviews involving client accounts, sales practices, security-specific issues and others• Administer compliance program for employee activities, including outside accounts, outside business activities, private securities transactions, political contributions and others• Support annual compliance assessments relating to Anti-Money Laundering, investment advisory and supervisory controls procedures and activities• Assist in preparation for, and conduct of, branch office examinations• Coordinate drafting, publication and maintenance of policies and procedures• Interact with regulators during examinations and inquiries
