- Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
- Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
- Assist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted lists
- Preparation and filing of required regulatory filings, for US and international clients
- Review of client and account documentation for anti-money laundering compliance
- Review, assess, devise, and conduct training of our clients' employees and management, according to client needs, particularly regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and valuation
- Design and monitor testing systems to insure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure
- Perform other compliance-related responsibilities and special projects as needed