Corp Legal - Chief Compliance Officer

Profile

Corp Legal - Chief Compliance Officer

RESPONSIBILITIES: Oversee and continue the development of compliance risk assessments, with an emphasis on coverage, frequency, sophistication and reporting. Expand the scope and rigor of compliance controls testing and supporting documentation. Oversee the review of advertising and marketing materials to ensure compliance with SEC rules and regulations. Maintain the firm’s code of ethics policies, including the monitoring of personal securities transactions, gifts & entertainment, email review and the firm’s restricted trading list. Oversee compliance with anti-bribery, anti-corruption and anti-money laundering policies. Lead regulatory examinations and reviews, including mock exams. Work closely with other members of the legal team and investment teams to support business needs. Identify and interpret federal and state rules and regulations to ensure the firm’s policies and procedures comply with appropriate laws, regulations and industry guidance. Work with outside legal counsel on compliance and regulatory issues. Respond to inquiries in connection with compliance and regulatory issues, quarterly, semiannual and annual questionnaires. Oversee annual and other updates to Form ADV, Form PF and other filings as necessary. Assist in expanding and developing the compliance training program.

Additional Information

Req #: 2965

Company info

Harbor Group Management Company
999 Waterside Drive Suite 2300
Norfolk
Virginia
United States 23510
Website : https://www.hgliving.com/