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Research amp Regulatory Compliance Associate
Location
Milwaukee, WI, United States
Posted on
Nov 25, 2022
Profile
Research & Regulatory Compliance Associate
Duties: Assist consultants in servicing clients, including taking ownership and responsibility for client responsibilities assigned. Compliance testing, compliance administration, Code of Ethics compliance, SEC exams, regulatory reporting, policies and procedures and marketing materials reviews; Assist in drafting base consulting documents stemming from new or updated rules and regulations; Develop an understanding of consulting approach as well as the rules, regulations and industry best practices relevant to clients; Assist in drafting and presenting summaries to the team of new or updated rules and regulations that impact clients, with a focus on the Investment Company Act of 1940 and the Investment Advisers Act of 1940; Monitor specific industry news publications and websites for regulatory developments; Support Bloom360 Learning Community’s mission through participation in events, contributing special talents and developing genuine, positive relationships with Bloom360 Learners and staff; and Become an active team member through effective communication, new idea generation, improvements to current processes and a positive attitude.
Company info
Sign Up Now - EmploymentCrossing.com
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