ENDED
- Link: RIA Compliance Professional from Interactive Brokers
- Dates: All year 2019.
- Job location: Washington, DC; USA.
- Job description: Respond to registration and compliance questions from investment advisors. Work with advisors to prepare SEC and state registration filings, compliance manuals, codes of ethics, and other written policies and procedures. Interact with the SEC, state regulatory agencies and other regulatory bodies to get investment advisors registered. Draft written materials to meet compliance obligations and/or respond to regulatory inquiries. Draft web content and periodic releases on compliance issues of interest to investment advisors. Draft research memos and/or white papers on various regulatory topics.
|
Latest promotions:
Extra promotions:
Comments:
It's your turn: