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Director of Compliance and Operations

Company: Robert Walters
Location: San Francisco
Posted on: February 26, 2021

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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