Director Of Compliance
CurrentI report directly to the Chief Compliance Officer and am responsible for ensuring that company activities comply with relevant legal and regulatory requirements as well as applicable policies and procedures. I am instrumental in the development and implementation of the compliance program, including company-wide polices and procedures. I provide guidance and support for investment staff and trading with respect to portfolio mandate compliance. I provide primary support to resolve compliance… Show more I report directly to the Chief Compliance Officer and am responsible for ensuring that company activities comply with relevant legal and regulatory requirements as well as applicable policies and procedures. I am instrumental in the development and implementation of the compliance program, including company-wide polices and procedures. I provide guidance and support for investment staff and trading with respect to portfolio mandate compliance. I provide primary support to resolve compliance issues and communicate relevant compliance issues to the company’s senior management. Show less
