Owning the sales practice-related policy, identifying and recommending necessary updates to current policies, procedures, and manuals to mitigate conflicts of interest and improve adherence to regulatory compliance requirements.
Represent sales practice compliance as a subject matter expert on projects initiated by stakeholders across the organization; assist in reviewing and approving sales practice approval requests submitted by the Sales Support team.
Conduct reviews and investigations with sales teams for Sales Practice violations; monitor business conduct and investigations for any regulatory non‑compliance activity.
Provide compliance training and consultation regarding regulatory requirements and internal policies to the Sales team.
Maintain professional working relationships internally and externally with securities regulators; support all types of audits as required.