Jennifer S.
San Diego, CA
RIA Compliance Consultant
$100.00/hr
- Experience with SEC exams
- Draft policies and procedures tailored to your organization
- Prepare annual ADV and ADV amendments in consultation with CCO and accounting staff and/or fund administrators
- Prepare form PF, including analyzing IQS and other documents to LP investor categories and create working documents to track such information going forward
- Prepare and/or administer BEA filings (10/11, 120/125, 577 and 180)
- Form entities, draft initial operating documents and create structure charts
- Monitor trading, political contributions and outside affiliations, flag potential violations of policies and procedures for CCO's review and maintain log of deviations
- Create and maintain master entity listing of all company entities and/or related party lists as required by certain entities for public filings
- KYC
- AML
- Collect, prepare and organize necessary data for FINRA and SEC sweeps
- NDA negotiation
Work History
No items
Skills
- Compliance Consultation
- Compliance Training
- Regulatory Compliance
- Non-Disclosure Agreement
- Compliance Testing
- Compliance
- SEC Regulation
- SEC Reporting
- Paralegal
Jennifer S.
San Diego, CA
1
Total Jobs
39
Total Hours
RIA Compliance Consultant
Specializes in$100.00/hr
- Experience with SEC exams
- Draft policies and procedures tailored to your organization
- Prepare annual ADV and ADV amendments in consultation with CCO and accounting staff and/or fund administrators
- Prepare form PF, including analyzing IQS and other documents to LP investor categories and create working documents to track such information going forward
- Prepare and/or administer BEA filings (10/11, 120/125, 577 and 180)
- Form entities, draft initial operating documents and create structure charts
- Monitor trading, political contributions and outside affiliations, flag potential violations of policies and procedures for CCO's review and maintain log of deviations
- Create and maintain master entity listing of all company entities and/or related party lists as required by certain entities for public filings
- KYC
- AML
- Collect, prepare and organize necessary data for FINRA and SEC sweeps
- NDA negotiation
Work History
No items
Skills
- Compliance Consultation
- Compliance Training
- Regulatory Compliance
- Non-Disclosure Agreement
- Compliance Testing
- Compliance
- SEC Regulation
- SEC Reporting
- Paralegal
Hours per week
More than 30 hrs/week