Draft web content and periodic releases on compliance issues of interest to investment advisors.
April 14, 2020
Obtain carrier appointments as needed.
April 26, 2020
Build and produce reporting on key risk indicators and trends associated with Compliance risk.
May 27, 2020
Develop automation, reporting and self-service capabilities and other duties as assigned.
June 02, 2020
Interact with the SEC, state regulatory agencies and other regulatory bodies in connection with efforts to get clients registered as investment advisers.
July 06, 2020
Assist senior staff and clients in drafting their compliance manuals, codes of ethics, and other written materials for use by clients to help them meet their compliance obligations and/or respond to regulatory inquiries.
July 08, 2020