Job Description
**Essential Duties and Responsibilities**
+ Supports the development, implementation, and oversight of compliance policies, procedures, and testing programs in accordance with Rules 38a-1 and 206(4)-7.
+ Supports team of associates responsible for testing and monitoring.
+ Supports portfolio compliance rule writing, rule testing and monitoring of Bloomberg AIM trading systems.
+ Identifies risk and develops testing and monitoring activities to reduce or mitigate the identified risk.
+ Familiar with portfolio compliance and performance measurement principles.
+ Partner with Legal, Risk and Compliance colleagues to manage corrective action plans and ensure regulatory compliance across all business functions
+ Minimizes the firm’s risk exposure while balancing business concerns.
+ Maintains the required compliance systems for the firm while fostering positive business relationships with department associates and branch associates/affiliates.
+ Stays abreas...
+ Supports the development, implementation, and oversight of compliance policies, procedures, and testing programs in accordance with Rules 38a-1 and 206(4)-7.
+ Supports team of associates responsible for testing and monitoring.
+ Supports portfolio compliance rule writing, rule testing and monitoring of Bloomberg AIM trading systems.
+ Identifies risk and develops testing and monitoring activities to reduce or mitigate the identified risk.
+ Familiar with portfolio compliance and performance measurement principles.
+ Partner with Legal, Risk and Compliance colleagues to manage corrective action plans and ensure regulatory compliance across all business functions
+ Minimizes the firm’s risk exposure while balancing business concerns.
+ Maintains the required compliance systems for the firm while fostering positive business relationships with department associates and branch associates/affiliates.
+ Stays abreas...