STRATOS

Financial Planning and Analysis

• Provide support to the overall Compliance Program
• Strengthen policies including WISP, privacy policy reviews, business continuity, and acceptable use policies
• Support new compliance initiatives with Compliance Directors
• Support the Compliance Testing Program, resolve identified issues, and undertake remedial projects
• Use Compliance Software to manage components of the Compliance Program
• Develop and document updated policies and procedures as new laws, rules, and best practices develop
• Suggest and implement improvements to the Stratos Compliance Program in collaboration with team members and management
• Respond to Compliance inquiries from investment advisory representatives and Stratos departmental team members
• Perform additional projects and tasks supporting the Stratos Compliance program as assigned

Investment Compliance Analyst