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Compliance Analyst - Asset Management
Responsibilities Respond to compliance due diligence questionnaires or complete compliance certifications; Assist with preparation  and ensuring the timely and accurate filing of all regulatory reports; Assist in the review of marketing materials and RFPs; Perform daily surveillance of e-communications for the adviser's personnel; Help evaluate the adequacy and effectiveness of the investment platform's policies, procedures and internal controls; Participate in the planning and execution of the annual review of policies and procedures; Participate in the harmonization of compliance procedures or process with global affiliates; Investigate compliance issues as they arise. Escalate issues as appro


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