the goodkind group, llc
Location: New York,NY, USA
Date: 2024-05-17T07:27:52Z
Job Description:
- Conduct reviews under the Group s annual review program pursuant to Rule 206(4)-7 of the Advisers Act which includes conducting reviews of the Group s policies and procedures as included in the Compliance Manual.
- Conduct general compliance reviews for the Group, including but not limited to: marketing reviews, personal securities transaction reviews, investment restriction reviews; vendor management reviews, social media and political contributions testing
- Prepare regulatory filings (i.e. ADV, Form 13F, Form PF)
- Prepare Compliance Board Reports
- Complete compliance reports for clients as and when requested.
- Ad-hoc queries from business
- General administrative support: Review RFPs, information questionnaires and the like
- Handle special projects and/or other duties as assigned by CCO and Management