Robert Campos
Compliance - GEM Investments
- Role
- Compliance Associate at GEM
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
Experience
Compliance Associate
May 2024 — Present · Charlotte, NC, US
Maintain and update GEM’s compliance policies and proceduresAssist with enforcing and testing GEM’s compliance programStay apprised of and develop expertise on SEC and NFA regulations, including changes and developmentsSupport the education and training of GEM employees on various regulatory requirements and how they are applicable to GEMHelp conduct initial and ongoing operational due diligence (ODD) reviewsReview marketing materials for compliance with applicable SEC regulationsAssist with GEM’s SEC and NFA filings and regulatory examinationsResearch and analyze applicable laws, regulations, and industry best practices to ensure compliance
Education
Rutgers University
Bachelor of Arts (B.A.), Psychology
2007 — 2011
Skills
- Research
- Project Planning
- Team Leadership
- Quality Assurance
- Time Management
- Microsoft Office
- Mental Health
- Internal Audit
- Social Networking
- Case Management
- Management
- Strategic Planning
- Marketing
- Relationship Building
- Finra
- Cpr Certified
- Regulatory Compliance
- Legal Compliance
- Licensing
- Customer Service
- Reporting & Analysis
- Social Media
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