What are the key skillset required for a compliance officer role?
complquery Latest Questions
Being new to the compliance world, the term Investment Compliance is a new term for me. How to differentiate between Investment Compliance and Compliance.
prof.mattsmithBeginner
What is the most challenging financial instrument from a compliance monitoring perspective?
Should any new regulation be extended to closed-ended funds which have terminated their subscription period before the application date of the said regulation?
What benefits does investment compliance bring to the stakeholder(s)?
Which OMS do you prefer for investment compliance monitoring and why?
Matt_smithContributor
In your opinion and current financial environment, which one is better growth engine between organic and inorganic growth for an asset manager?
Doctor_WhoBeginner
What the the biggest challenges you face related to Investment compliance monitoring? It can be system related, process related or people related.
What is a Wash Sale and what controls can investment compliance put in place to monitor Wash Sale?
As a compliance officer, what part of your job do you find most challenging?