Description

You will maintain and manage the Firm's policies and procedures regarding the use of consultant networks, independent consultants, and custom projects. You will partner with team members in Research Compliance while working closely with investment professionals.

Requirements

• 1-3 years of compliance experience in financial services.
• Undergraduate degree with minimum GPA 3.2.
• Strong verbal and written communication skills.
• Strong analytical, problem-solving, planning, and organizational skills.
• Attention to detail and ability to handle multiple tasks simultaneously.

Responsibilities

• Conduct oversight of interactions with consultants through expert networks, brokers, and direct relationships.
• Chaperone consultant calls for investment professionals and document accordingly.
• Monitor chaperoned calls in compliance management system and track consultants for coverage.
• Assist in oversight and maintenance of policies on custom projects and surveys from investment professionals.
• Brainstorm and implement ideas for compliance oversight improvement and efficient processes.