Job Responsibilities: Develops and maintains policies and procedures as required by laws and regulations applicable to the Investment Management division, including RIA and BD regulatory regimes. Acts as regulatory liaison with the SEC, FINRA and other applicable regulatory bodies, managing regulatory audits and exams. Assists in developing and promoting a compliance function that effectively manages and mitigates risk, establishes proper controls, supports capital raising and other business transactions and protects the Company from legal and regulatory risk.Liaises with Compliance team members in Europe and Asia-Pacific with respect to compliance issues affecting the global Investment Management division, including AIFMD and RIA impli
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