Experience
10 yrs required
Location
Washington, DC, United States
Posted on
Nov 07, 2022
Profile
Calvert Research and Management Advisory Compliance, Vice President/Executive Director
The candidate will assist the CCO in maintaining a 206(4)-7 compliance program appropriate to Calvert and reflective of industry best practices and regulatory requirements/expectations. Provide compliance advisory coverage to business personnel and support functions in a fast-paced and dynamic environment. Support the CCO by leading major projects and drive enhancements for the compliance group. Assess the impact of regulatory developments, support regulatory change management efforts, and providing regulatory updates to the business. Maintain a thorough and up-to-date understanding of applicable adviser regulations and rule proposals impacting relevant business activities. Draft and update policies and procedures. Draft/ review regulatory filings, including Form ADV. Prepare and deliver compliance training. Conduct monitoring activities as part of second-line oversight of the business's compliance with guidance, regulation, policies and procedures, and investment guidelines. Review and evaluate new product proposals. Complete client requests, i.e., certification, questionnaires and other information requests. Present in due diligence meetings with clients and/or prospective clients. Review investment management agreements to identify and interpret investment guidelines. Perform advisory support in connection with compliance monitoring and testing activities as part of second-line oversight of the Firm's compliance with applicable regulations, and policies and procedures. Support compliance program matters and projects.
Company info
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