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VP, Central Compliance
Asset Manager is looking to hire a VP, Central Compliance
• Assist with the administration of the Firm’s Business Conduct Manual and Code of Ethics • Respond to employee requests regarding personal trading, gifts and entertainment, political and charitable contributions, and other topics • Handle various regulatory, registration and other filings • Assist with the maintenance, tracking and organization of Compliance Department records • Assist with developing, updating and administering Compliance training and policies, including Annual Compliance Training • Draft, update and review employee Compliance certifications • Draft responses to client reporting items, including RFPs, DDQs and other ad hoc reporting • Review employee disclosures • Draft firm-wide reminders on various compliance and regulatory topics • Assist with other tasks and responsibilities as required