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Compliance Director
Responsibilities: Develop, implement and maintain policies and procedures reasonably designed to comply with rules, regulations and firm requirements, including an assessment of new rules and incorporating them into the compliance program Assist in the development of a firm-wide risk assessment that addresses regulatory and business risks, identifies and establish controls to mitigate those risks, and helps define the annual review process Assist with the annual review and testing requirements under SEC Rule 206(4)-7, ADV filings, RIA Recordkeeping, ERISA, DOL and other regulatory matters, including on-going reviews of portfolio management, trading, billing, cybersecurity, vendor due diligence, advertising, conflicts of interest, and other high risk areas


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