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Compliance Principal
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- Position ResponsibilitiesPrepare and submit annual and quarterly regulatory filings required by the SEC and NFA/CFTC, e.g., Form ADV Part 1, Form ADV Part 2, Form 13F, Form PF, Form PQR, and Form PR.Establish and optimize data gathering and reporting processes for regulatory as well as internal use.
- Oversee the U.S. client account opening and onboarding process including AML/KYC review.
- Oversee pooled vehicle regulatory requirements and testing (compliance with FINRA/ERISA rules, Reg D, etc).
- Responsible for ensuring all information security processes, policies and procedures are adhered to and any issues or concerns are raised with the Cyber Security team.
- Ensure full compliance with all local data protection regulations and privacy controls, and any related issues are raised via the appropriate channels.
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