Michael Jones - Income Code


Michael Jones - Income Code


Compliance professional with 10 years experience in the financial services sector. Currently focusing on pre-trade compliance and portfolio surveillance. Responsible for reviews of applicable regulatory requirements and changes to regulatory environment to ensure compliance procedures are current. Provides essential support for the Chief Compliance Officer in his responsibilities under SEC Rules 38a-1 and Rule 206(4)-7.
Specialties

Systems expertise with XIP and Charles River, Derivatives Certification with CRD. Solid familiarity with 40 Act regulations and audit procedures. Code of Ethics monitoring, 40 Act, UCITS, and ERISA Testing.



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