Covers regulatory requirements for investment advisers, including fiduciary duty, disclosures, and compliance program design under Rule 206(4)-7.

Addresses compliance obligations for mutual funds, ETFs, and other registered investment companies, including board governance, affiliated transactions, and custody requirements.

Encompasses broker-dealer registration, supervision, recordkeeping, trade reporting, and communications requirements, including Rules 3110, 4511, and 2210.

Focuses on advertising, testimonials, third-party ratings, and performance presentation standards for investment advisers.

Covers compliance requirements for commodity pool operators (CPOs) and commodity trading advisors (CTAs) registered with the CFTC and NFA.

Covers anti-money laundering programs, sanctions screening, suspicious activity reporting, and regulatory filings (SAR, CTR, 314(a)).

Involves implementing privacy policies, data breach procedures, and compliance with cross-border data transfer laws.

Covers GCP (Good Clinical Practice), IRB oversight, FDA inspection readiness, and data integrity for regulated studies.

Experience drafting or maintaining policies and procedures, annual reviews, and risk assessments.

Experience reviewing marketing materials, pitchbooks, social media, or public disclosures for compliance with SEC or FINRA rules.

Preparation or oversight of filings such as Form ADV, Form PF, Form 13F, Form 13H, Blue Sky, or other state registrations.

Experience monitoring personal trading, MNPI, restricted lists, gifts and entertainment, and insider trading compliance.

Experience conducting forensic testing, SEC mock exams, or third-party audits to assess control effectiveness.

Developing and delivering compliance training programs, new hire orientations, or annual certifications.

Experience performing vendor risk assessments or onboarding reviews of service providers and sub-advisers.

Experience managing ESG disclosures, green marketing, or sustainability-related investment reporting.