Elda Orozco

- Manage advertising, sales literature and web-materials compliance for Exchange Traded Funds; - Develop and implementation of controls, policies and procedures; - Oversee employee securities transactions; - Conduct Compliance training; - Provide guidance to the business as necessary on compliance and legal issues; - Coordinate regulatory audits; and - New products compliance with regulation.

-Perform assurance engagements to assess effectiveness of internal controls for financial reporting for Sarbanes-Oxley section 404; - Review effectiveness of Company Compliance Programs; - Conduct investigations related to alleged ethical policy violations and identify control improvements that will preclude recurrence of the issue; and - Coordinate audit efforts with external auditor.