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Project Manager Compliance Systems
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- The Corporate Compliance Program Manager administers ongoing activities to support controls based compliance programs (e.g., investment advisory and mutual fund compliance programs) and coordinates compliance department activities in support of firm and fund governance, including but not limited to committee governance, policy governance, and board governance.
- Coordinate compliance control testing and policy/procedure reviews with auditors and outside counsel, as appropriate.
- Prepare and review tailored responses to compliance related due diligence requests from our clients.
- Manage processes to develop and deliver reporting to the firm's boards of directors and the parent company.
- Coordinate the Compliance Department's activities with respect to committee and policy governance; administer the firm's Internal Compliance Controls Committee's activities, in particular.
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