Compliance Director- Asset Management

**Essential Duties and Responsibilities**

+ Assists in supporting the compliance program for AMS
+ Serves as a compliance subject matter expert specific to the business and associated programs administered by AMS.
+ Identifies, develops and administers compliance monitoring activities over AMS functions, including investment management activities, advisory fee billing, and manager research.
+ Schedules and facilitates periodic meetings specific to investment advisory activities such as best execution.
+ Participates in annual compliance initiatives such as the Compliance Risk Assessment and Conflicts of Interest Assessment.
+ May assist with the development and implementation of continuing education and training programs for the department in conjunction with management.
+ Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.
+ Periodically review client-facing correspondence and related disclosure...

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