Compliance Officer
ConsultNet Technology Services and Solutions
Review investment product marketing materials for SEC compliance. Complete private quarterly reporting. Perform private fund compliance testing and monitoring. Assist in conducting company-wide training to meet SEC, NFA, and FINRA obligations. Facilitate periodic committee materials and reporting metrics. Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact our activities. Oversee NFA and CFTC regulatory obligations, including required filings, annual renewals, system access administration, fee confirmations, regulatory inquiries, privacy mailing confirmations, and the firm’s annual self-examination. #J-18808-Ljbffr ConsultNet Technology Services and Solutions
Vacancy posted 1 day ago
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