Director of Compliance and Operations
Company: Robert Walters
Location: San Francisco
Posted on: February 26, 2021
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Job Description:
Key Responsibilities:* Day-to-day portfolio management
compliance and coverage of trading desk (must work trading hours
(workday starts at 630am Pacific))* Review of marketing
presentation and commentaries* Preparation of standard client
compliance certificates and deliverables* Review and production of
regulatory filings, 13Gs, 13Fs, etc.* Code of Ethics oversight
including the review and approval of personal trades, gifts and
entertainment, political contributions, and outside business
activities via Compliance Science* Expert network oversight*
Respond to employee compliance questions* Distribution agreement
oversight* Mission critical vendor oversight and tracking and
engagement in due diligence exercises* Stay abreast of regulatory
changes and work to implement changes in compliance manual and code
of ethics* Participate in Compliance Committee and Best Execution
CommitteeSkills and Qualifications: * Ideal candidate would have
6-10+ years of compliance related experience with an investment
adviser* Experience with Charles River or another order management
system is a plus* Experience with the Investment Advisers Act of
1940 and Investment Company Act of 1940 preferrable* Knowledge of
GIPS is a plusDue to the high volume of applications we receive, we
are unable torespond to every submission.
Keywords: Robert Walters, San Francisco , Director of Compliance and Operations, Executive , San Francisco, California
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