Chief Compliance Officer

Compliance Program Design and Administration:

• Design, implement, and maintain the firm’s written compliance policies and procedures.
• Conduct at least an annual review of the adequacy of the firm’s compliance policies and procedures.
• Identify and assess regulatory risks across all business activities.

Regulatory Filings and Reporting:

• Oversee the preparation, review, and timely filing of Form ADV Parts 1, 2A, 2B, and Form CRS.
• Ensure timely filings on any such applicable regulatory filings/ requirements.
• Monitor and ensure compliance with state notice filing and investment adviser representative requirements.

SEC Examination Readiness and Regulatory Engagement:

• Serve as the primary liaison with the SEC’s Division of Examinations and state securities regulators.
• Maintain examination readiness at all times, including organized books and records, document retention systems, and staff preparedness.
• Coordinate responses to SEC deficiency letters, examination findings, and any enforcement inquiries.