Assisting with Federal, State, and International regulatory filings (including Form ADV, Form PF, CPO PQR/CTA PR, AIFMD Annex IV, Forms U4, U5, BD, BR, D, and DA).
Reviewing investor subscription agreements to comply with certain requirements, including AML and KYC diligence of investors Assist with ongoing monitoring of third-party administrators and due diligence
Review and disposition sanction screenings alert
Helping maintain information barriers program, including but not limited to, restricted list maintenance, conflict reviews and approving expert networks.
Providing compliance guidance to employees on a day-to-day basis around policies, procedures, and protocols.
Performing electronic communications review, surveillance, other testing and helping conduct the annual review.
Assisting the Firm and Senior Compliance Officers during audits, regulatory, or mock exams
Drafting policies and procedures.
Developing and conducting employee trainings.
Analyzing new and pending laws and regulations to identify properly and expeditiously those which may impact the Firm’s business and collaborating with the Senior Compliance Officers to revise the Firm’s policies and procedures, as necessary.
Assisting with compliance around employee trading, including reviewing employee trading statements/confirms, FINRA 3210 request letters, and assisting in required pre-clearance requests.
