Conduct daily compliance functions related to investment advisory businessProvide oversight, risk management, and policy implementationAssist in preparation of regulatory filings such as Forms ADV and 13FMonitor and maintain individual investment advisor registrations and licensingCommunicate with team members to address compliance concerns promptlyIdentify, assess, and mitigate risks to ensure compliance with internal and regulatory guidelinesReview marketing and advertising materials for compliance with SEC regulationsManage Human Resources functions including payroll, benefits, and employee performance, increasing human resources department productivity and efficiency