*Carrying out daily review and monitoring of the firms Code of Ethics program
*Assist the compliance team with compliance onboarding and managing employees’ disclosures
*Conduct new hire and annual compliance trainings, personal trading reviews and approvals
*Responsible for approved person registrations as well as SMCR registration
*Review and approval of all personal trading requests through the firm’s internal compliance system as well as gifts and entertainment
*Manage and review all employee disclosures of brokerage accounts, ensure brokerage accounts are linked to the electronic feed, review paper statements, if necessary
*Coordinate, track and send out quarterly compliance certifications, review responses
*Maintain internal controls in order to detect violations of company policies and procedures
*Preparation and completion of various regulatory filings as it pertains to personal account dealing
*Assist with educating investment and non-investment staff on compliance related matters and enforcing compliance policies
*Handling ad hoc projects for the Compliance team as they arise
*Assist in other Code of Ethics related tasks as needed
*Escalate matters to the manager