The Compliance Associate will support the Chief Compliance Officer (CCO) in managing the firm's compliance program(s), to ensure the firm adheres to regulatory standards set by the Securities and Exchange Commission (SEC) and other applicable authorities. This includes monitoring and reporting on the Code of Ethics, testing compliance related policies and procedures, and working with the CCO, employees, outside counsel, and compliance consultants to ensure effective compliance program oversight.   MAJOR JOB ACCOUNTABILITIES:   - Required Filings: Assist in the preparation, maintenance, and filing of regulatory documents such as Form ADV, Form U-4/U-5, and other filings as needed.   - Audits: - Assist in performing annual compliance program reviews; support periodic mock regulatory exams; aid in responding to regulatory inquiries and examinations from the SEC and other regulatory bodies.   - Work with internal and external auditors throughout the year by...

A Day in the Life of a Compliance Officer, Investments/Risk Management The Compliance Officer, Investments/Risk Management is an experienced sole contributor that assists the chief compliance officer (CCO) in the management of compliance processes in support of Fort Washington Investment Advisors. This individual partners with the CCO and senior management in the development and application of strategic vision for the culture of compliance for a SEC registered investment adviser. The primary focus of this position is to ensure compliance-related investment and quality assurance processes are managed and regulatory and client risks are sufficiently mitigated in a timely manner. Assists in the management of compliance oversight related to client's investment policy statements including social and environmentally responsible investing and remediate areas of non-compliance. Duties and Responsibilities ·       Institutes compliance rules on trading systems based...