- Assist the Head of Compliance in the development and enhancement of the Compliance Program, including maintaining policies and procedures and responding to regulatory complaints.
- Review marketing collateral, product copy, and other consumer-facing communications for adherence to regulatory requirements, company standards, and industry best practices.
- Provide compliance support to the Guidance Team in addressing member concerns and collaborating with relevant teams.
- Provide guidance and ongoing support on managing compliance risks and applying requirements to Fruitful products and services.
- Perform compliance testing and monitoring of requirements and associated controls, such as code of ethics, UDAAP, GLBA, and BSA/AML.
- Support regulatory filings like the ADV, exams, and information requests.
- Provide training and maintain registrations for the Guidance Team.
Compliance