Corporate/Counsel/In House/Hartford, Connecticut
Company Name:
BITSOFT INTERNATIONAL, INC.
AVP, Senior Counsel - Asset Management
The candidate will oversee all aspects of company's asset management and investment advisory legal and compliance programs as they relate to the investment advisory platform, program and services offered and sponsored by company. Will work closely with company compliance officers and senior management from advisory services, finance, operations and marketing. Work closely with regulators and internal/external auditors as needed. Provide legal support and guidance to the company Managed Account business, IA Compliance program and CCO, including facilitating annual reviews of compliance policies and procedures, compliance testing, year-end reporting, assisting with investment advisory compliance and surveillance processes, and consulting with company Investment Advisory business partners. Assist the Head of RIA Compliance, the CCO and Chief Counsel in the development, enhancement, implementation and maintenance of asset management compliance policies, procedures and processes. Ensure that the firm meets all regulatory requirements, including but not limited to facilitating the timely and accurate asset management regulatory filings, including Forms ADV (all parts) or 13F and 13H, as may be required. Analyze and interpret applicable laws and regulations and assist in the formulation, communication and training with respect to the firm's compliance policies and procedures to address applicable laws and regulations. Work with key compliance and business partners to develop, maintain and conduct initial and ongoing compliance training and education for company advisors and home office personnel. Coordinate with company Investment Advisory staff on all advisory products and ensure that appropriate policies are developed and maintained. Provide advice with respect to regulatory issues and filings, including under state and federal law and other potential federal regulation. Handle other general corporate work, including investment advisory contract review and negotiation. Participate in key industry trade associations, committees and working groups and maintain collaborative relationships with relevant regulators, including the SEC and FINRA. Report to and support the Chief Counsel in handling other corporate governance matters. Assist the IA Compliance organization with asset management compliance of third-party asset managers and co-advisors. Collaborate with IA Compliance and Operations on developing, implementing and maintaining effective surveillance programs to ensure that the firm complies with the investment management guidelines of its clients. Oversee and support company Compliance staff in responding to SEC investment advisory regulatory inquiries and handling examinations, as well as investment advisory related inquiries and examinations from other regulators. Provide guidance to the Licensing & Registration department on registration and licensing issues for registered investment advisers. Provide advice with respect to regulatory issues and filings, including under state and federal law and other potential federal regulation. Oversee the day-to-day management of company's asset management and investment advisor (IA) Legal program.Estimated Salary: $20 to $28 per hour based on qualifications.
BITSOFT INTERNATIONAL, INC.
AVP, Senior Counsel - Asset Management
The candidate will oversee all aspects of company's asset management and investment advisory legal and compliance programs as they relate to the investment advisory platform, program and services offered and sponsored by company. Will work closely with company compliance officers and senior management from advisory services, finance, operations and marketing. Work closely with regulators and internal/external auditors as needed. Provide legal support and guidance to the company Managed Account business, IA Compliance program and CCO, including facilitating annual reviews of compliance policies and procedures, compliance testing, year-end reporting, assisting with investment advisory compliance and surveillance processes, and consulting with company Investment Advisory business partners. Assist the Head of RIA Compliance, the CCO and Chief Counsel in the development, enhancement, implementation and maintenance of asset management compliance policies, procedures and processes. Ensure that the firm meets all regulatory requirements, including but not limited to facilitating the timely and accurate asset management regulatory filings, including Forms ADV (all parts) or 13F and 13H, as may be required. Analyze and interpret applicable laws and regulations and assist in the formulation, communication and training with respect to the firm's compliance policies and procedures to address applicable laws and regulations. Work with key compliance and business partners to develop, maintain and conduct initial and ongoing compliance training and education for company advisors and home office personnel. Coordinate with company Investment Advisory staff on all advisory products and ensure that appropriate policies are developed and maintained. Provide advice with respect to regulatory issues and filings, including under state and federal law and other potential federal regulation. Handle other general corporate work, including investment advisory contract review and negotiation. Participate in key industry trade associations, committees and working groups and maintain collaborative relationships with relevant regulators, including the SEC and FINRA. Report to and support the Chief Counsel in handling other corporate governance matters. Assist the IA Compliance organization with asset management compliance of third-party asset managers and co-advisors. Collaborate with IA Compliance and Operations on developing, implementing and maintaining effective surveillance programs to ensure that the firm complies with the investment management guidelines of its clients. Oversee and support company Compliance staff in responding to SEC investment advisory regulatory inquiries and handling examinations, as well as investment advisory related inquiries and examinations from other regulators. Provide guidance to the Licensing & Registration department on registration and licensing issues for registered investment advisers. Provide advice with respect to regulatory issues and filings, including under state and federal law and other potential federal regulation. Oversee the day-to-day management of company's asset management and investment advisor (IA) Legal program.Estimated Salary: $20 to $28 per hour based on qualifications.
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