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Legal And Compliance Specialist
Company name
DerivativePATH
Experience
1 yrs required
Location
Walnut Creek, CA, United States
Employment Type
Full-Time
Industry
Legal
Posted on
Sep 17, 2020
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/
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