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Compliance Due Diligence

Jersey City, NJ

Responsible for conducting due diligence reviews of existing and new outside money managers to ensure that they adhere to all industry rules and regulations. Participate in construction of required periodic Board reports, including quarterly and annual compliance reports and the Section 15(c) annual subadviser contract renewal analysis. Must have 3-5+ years of experience in investment advisory or investment management compliance with hands-on experience with drafting/monitoring/and testing compliance policies and procedures.

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