Chief Compliance Officer

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Chief Compliance Officer
Duties: Develop, initiate, maintain and revise policies and procedures for the general operation of the compliance program and its related activities to prevent illegal, unethical, or improper conduct. Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends. Assume ultimate responsibility for ensuring that the company conducts its business in compliance with applicable SEC et al. laws and regulations. Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.

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