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Compliance Administrator Responsibilities and Duties

Assist Chief Compliance Officer to design and implement all administrative processes and procedures in adherence to organization policy.

Provide training to all employees for compliance procedures and evaluate application of same in all processes.

Manage all communication with legal and regulation departments to maintain knowledge on all new rulings in organization.

Administer all internal audit processes and ensure successful audit of firm every time.

Prepare and manage all new securities paperwork and submit it to custodian.

Maintain all knowledge on compliance in RIA environment.

Analyze all compliance requirements for various procedures and provide necessary training if required and design strategies to achieve all objectives.

Manage all communication with various departments in an efficient manner.

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