• Review client emails using a combination of keyword flags and random sampling to identify potential issues. • Assist with various regulatory filing processes, such as Form 13F. • Review client marketing materials for consistency with applicable SEC or state regulatory requirements. • Perform trade statement analysis to identify violations of client trading restrictions. • Help administer client code of ethics requirements via Comply platform, including: • Employee onboarding and offboarding assistance. • Certification and Attestation management by assisting with creation and editing of certifications. • Employee Personal Trading system maintenance by adding requested new accounts, reviewing preclearance request exception reports, and quarterly reporting. • Gifts and Entertainment maintenance and administration by reviewing submissions and reporting findings. • Outside Business Activities maintenance and administration by reviewing submissions and reporting findings. • List maintenance (restricted, auto-approve, etc.) by adding and removing securities from lists based on client’s specific update items. • Standard report creation and maintenance by preparing standard out-of-the-box reports from Comply. • Review client political contributions submissions via Comply’s Illumis platform and report any findings. • Assist Managed Services team with various other tasks.