Triad

Compliance

• Provide essential support to the Director of Compliance in administering the Firm’s compliance program
• Conduct routine compliance reviews and surveillance of advertising, email and other communications, trade activity, and client files
• Assist with preparation and filing of Form ADV, U4s, U5s, 13F, and 13H
• Support regulatory exams, field audits, and mock audits by gathering documents and coordinating responses
• Maintain compliance records in accordance with SEC recordkeeping requirements
• Monitor compliance software systems to identify issues and escalate as appropriate
• Maintain compliance policies and procedures, including version control and documentation of updates
• Track and coordinate compliance training, assist with training materials, and maintain attendance and acknowledgement records
• Research regulatory changes and industry updates and summarize findings for the Director and Chief Compliance Officer
• Respond to member firms’ compliance-related questions
• Participate in compliance-related projects and initiatives assigned by the Director of Compliance
• Report to the Director of Compliance

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Compliance Specialist