Litigation Support-Act as contact with both internal and outside counsel to summarize information and gather production/interrogatory responses

Complaints & Regulatory Inquiries – Respond to and assist the Compliance Director with the review/approval of others responses to complaints and regulatory inquiries for accuracy, regulatory and litigation risk and escalate as appropriate.

Act as Compliance Lead for Major Fraud Issues – Direct the fraud investigation process, monitor/communicate concerns, make appropriate recommendations and notify regulatory entities as appropriate.

Market Conduct Exams – Oversee all aspects of market conduct exams including assignments, review, summarization, communication and any associated follow-up communications and remediations.

Compliance Resource for Operational Areas-respond to questions and issues of a compliance nature from the operational areas and escalate to Compliance Director when warranted