Responsibilities

The Senior Regulatory Associate will serve as a compliance consultant for complex compliance-related inquiries, provide consultation regarding business processes and operations, and complaints, maintain the company’s 38a-1 program, review and analyze research requests, monitor and analyze regulatory activity, manage compliance implementation of new process requirements, provide compliance support for operations including process reviews, legal research requests, electronic transaction compliance, quarterly statements, and mailroom exceptions. They will also manage the company’s 38a-1 Legal Inventory, create and maintain 38a-1 Policy Level Documents, perform risk assessments, and provide training and awareness. Furthermore, the role involves providing compliance support for variable product lines, including monitoring and interpreting regulatory developments, developing compliance policies and procedures, conducting risk assessments, and collaborating with product development and marketing teams to ensure compliant product design and promotion.