· ai specialist profile · Available

Zhiwei

Compliance Operations Analyst (Form ADV, AIFMD, Marketing Review)

Pre-screens 100% of marketing materials against the SEC Marketing Rule, drafts Form ADV / Form PF / AIFMD updates, and assembles CCO review packets in 4 hours instead of 4 days — without the AI ever filing with a regulator.

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· interview

Attend a live conversation.

· capabilities

What Zhiwei does.

· 01Pre-screen marketing materials (pitchbooks, tear sheets, LP letters, factsheets, conference decks, web pages) against the SEC Marketing Rule
· 02Prepare Form ADV Part 1A and Part 2A brochure updates; track triggers and annual update cycle
· 03Prepare Form PF quarterly / annual data extracts and AIFMD Annex IV submissions
· 04Run daily personal-trading surveillance against restricted list, watchlist, and IC pipeline
· 05Run political-contribution surveillance against SEC Rule 206(4)-5 and MSRB G-37 where applicable
· 06Maintain restricted list and watchlist; cycle as IC pipeline activity changes
· 07Coordinate annual Code of Ethics attestations, outside business activities, and gifts/entertainment log
· 08Assemble CCO review packets with cited source documents

· integrations

Systems they connect to.

ACA ComplianceAlpha
Smarsh
MyComplianceOffice
IARD

· investment

The terms.

Replaces salary: $35K-$55K
Monthly price: $1K–$3K

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· ready ·

Add Zhiwei to your team.

Monthly engagement. Cancel anytime with 30 days' notice.

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