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Buy Side Compliance
in Financial Services PermanentJob Detail
Job Description
Duties:
- Handle all regulatory filing for the firm from form ADV Form PF BE-185 Form 45-106F1
- Work with all business teams to handle the data and assist with technology for internal and external filings
- Monitor compliance imitative for the State and Federal level
Requirements:
- 3-6 year handling regulatory filings for RIA
- Alternative investments and understanding compliance restrictions around Private placements and registered products
- SEC filing for private funds
- ShareAustin:
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