Chief Compliance Officer And Investment Operations Manager
CurrentChief Compliance OfficerDevelop, implement, and oversee the compliance program for an independent Registered Investment Advisor (RIA) operating solely in a fiduciary capacity, ensuring adherence to SEC regulations, fiduciary obligations, and internal policies.- Custody Rule (Rule 206(4)-2), SEC Examinations, Form ADV (Parts 1 and 2), Form CRSInvestment Operations ManagerOversee the operational aspects of investment activities, ensuring the smooth and efficient execution of transactions, reporting, and portfolio management processes. - Trade Execution, Portfolio Reconciliation, Cash Management, Data Integrity, Custodian Relationships