Compliance

• Responsible for the day-to-day administration of the firm's Code of Ethics software system for employee compliance
• Contacts new employees regarding compliance obligations including code of ethics and other matters
• Assists with set up of broker feeds
• Continuous maintenance of firm's Code of Ethics software system and brokerage firm contacts for feeds
• Responsible for compliance manual certifications and tracking of all employee obligations
• Schedule compliance training sessions, track attendance and certifications
• Keep records of various supervisory committees
• Work on projects to maintain the firm’s high standards of compliance with new and existing regulations
• Collaborate with Legal and Compliance staff to support the firm’s employees

Employee Compliance Concierge

Quality Specialist – Customer Compliance

Senior Quality and Compliance Coordinator

Director, Ethics and Compliance Investigations

Senior Export Compliance Officer

Senior Analyst – Regulatory Oversight