Atlas Search | Compliance Associate

Monitor the day-to-day administration of the RIA's compliance program.Assist the CCO with all dealings with any regulatory agencies.Supervise the firm's day-to-day activitiesReview and approve client marketing, reporting, and correspondence.Manage the firm's annual testing processAssist the CCO with all regulatory filings, including Form ADV (all parts) and Securities Exchange Act Section 13 filings.Perform reviews of the firm's remote locationsMonitor the RIA's Code of Ethics Platform and compliance with any related requirements.Assist in the review of electronic communications.Update and maintain all written compliance policies and procedures.Work with the CCO to design and implement clear operational, compliance, and supervisory systems.Coordinate and conduct periodic continuing education and staff training.Any other compliance-related tasks requested by the CCO

Created: 2025-01-01