Compliance Officer Responsibilities Assist in implementing the Global Compliance Program Drafting compliance policies and procedures Conduct research with respect to compliance and regulatory issues; develop new compliance initiatives Interact with the business and global compliance teams to provide advice and guidance to firm personnel on compliance matters Provide training to employees during induction, annual and ad hoc compliance trainings, including the preparation and updating of materials Assist with regulatory examinations, inquiries, investigations, internal audits and projects, as necessary Prepare and submit regulatory filings (i.e., Form ADV, 13H, N-PX) Undertake and lead special compliance related projects involving various inter-department stakeholders Conduct reviews as part of the Firm’s overall compliance program as required under the Investment Advisers Act Rule 206(4)-7 Organize and administer the Firm’s committee governance program and...