Legal And Compliance Specialist

Profile

Legal And Compliance Specialist

The candidate will handle many of the day to day compliance and operational responsibilities for the firm supporting the Chief Compliance Officer. Manage individual and firm registration requirements including licensing. Assist in the management and implementation of the firm’s compliance and regulatory policies, procedures, and code of ethics and ensure compliance with applicable laws and regulations. Respond to client inquiries on compliance issues. Develop and provide training on compliance related topics on an as-needed basis. Assist CCO with all audits, including providing responses and developing corrective action plans. Client Onboarding related to: System Entity/Users setup & distribution lists; Portfolio onboarding; DTCC onboarding.

Company info

DerivativePATH
2001 North Main Street Suite 250
Walnut Creek
California
United States 94596
Website : https://www.derivativepath.com/