Job Description
Position Responsibilities
- Owning the sales practice-related policy, identifying and recommending necessary updates to current policies, procedures, and manuals to mitigate conflicts of interest and improve adherence to regulatory compliance requirements.
- Represent sales practice compliance as a subject matter expert on projects initiated by stakeholders across the organization; assist in reviewing and approving sales practice approval requests submitted by the Sales Support team.
- Conduct reviews and investigations with sales teams for Sales Practice violations; monitor business conduct and investigations for any regulatory non‑compliance activity.
- Provide compliance training and consultation regarding regulatory requirements and internal policies to the Sales team.
- Maintain professional working relationships internally and externally with securities regulators; support all types of audits as required.
- Monitor and s...