li>Deep knowledge of the Investment Advisers Act and key rules: 206(4)-7 (compliance programs), 206(4)-1 (Marketing), 204-2 (books and records), 204A-1 (Code of Ethics), 206(4)-5 (Pay-to-Play); strong command of best execution, trade allocation, soft dollars, custody considerations, privacy (Reg S-P), and state notice filings. - Oversee portfolio and trading compliance for discretionary and non-discretionary programs: best execution reviews, trade aggregation/allocation fairness, broker selection, use of research/soft dollars (Section 28(e)), trade error handling, and valuation governance for managed accounts.