Job Description
1. Support the Chief Compliance Officer in designing and managing compliance programs for affiliated registered investment advisers
2. Serve as a key advisor to investment, product, legal, distribution, and operations teams on compliance considerations related to new business initiatives and product development
3. Help cultivate a strong compliance culture by driving awareness of regulatory expectations and encouraging early incorporation of compliance perspectives
4. Draft, review, and enhance policies and procedures aligned with the Investment Advisers Act and other applicable regulations
5. Prepare required regulatory filings and documentation
6. Oversee periodic compliance risk assessments and contribute to the development of mitigation plans
7. Assist with regulatory examinations, inquiries, and related responses
8. Analyze complex regulatory or business issues and provide practical, risk‑aligned recommendations
9. Manage competing priorities across multiple affiliated business lines with strong project management discipline
10. Communicate clearly and confidently with senior leadership, clients, and regulatory bodies