Compliance Officer The Compliance Officer implements broader planning for business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. As a subject matter expert in investment adviser and broker-dealer compliance, this job manages large projects and processes to identify, investigate, and report compliance risks. Key Responsibilities and Duties Develops and implements preventative measures and compliance processes, identifies opportunities to improve the communication, monitoring, and/or enforcement of business unit compliance programs, and recommends relevant revisions of policies and procedures to improve the general operation of business unit compliance programs to management. Oversees business unit compliance programs as well as the development, implementation and revision of policies and...