Fruitful

Compliance

• Assist the Head of Compliance in the development and enhancement of the Compliance Program including maintaining policies and procedures and responding to regulatory complaints
• Review marketing collateral, product copy, and other consumer facing communications for adherence to regulatory requirements, company standards and industry best practices
• Provide compliance support to the Guidance Team in addressing member concerns, collaborating with relevant Fruitful teams
• Provide guidance and ongoing support on managing compliance risks and applying compliance requirements to Fruitful products and services
• Perform compliance testing and monitoring of compliance requirements and associated controls (e.g. investment adviser code of ethics, UDAAP, GLBA, BSA/AML)
• Support regulatory filings like the ADV, exams, and information requests
• Provide training and maintain registrations for the Guidance Team

Senior RIA Compliance Associate