Compliance Officer
Investment Management
Dallas, TX – Uptown area (Hybrid – four days a week in-office)
Why Join Us:
- Opportunity to join an established and rapidly growing investment management business with a national footprint
- Play a critical role in the growth and development of the compliance program
- Award-winning modern offices and a positive and collaborative working culture
Responsibilities:
- Reporting to the Chief Compliance Officer, the Compliance Officer supports the compliance program of a dually registered broker-dealer and investment adviser
- This role is responsible for ensuring adherence to regulatory requirements and internal policies, supporting day-to-day compliance operations, assisting with regulatory audits, and internal reviews
- Monitor and interpret FINRA, SEC, and state regulatory developments and assess their impact on the firm
- Conduct communications and trade surveillance reviews to ensure compliance with firm policies and regulatory requirements
- Provide compliance training and guidance to business units and registered representatives
- Assist with updating firm policies and procedures manuals
- Assist with the review of marketing materials
- Assist, as needed, with regulatory audits by FINRA, SEC, and state insurance and securities regulators
- Collaborate with legal, operations, and supervisory teams to address compliance issues and implement corrective actions
- Provide cross-functional support to different teams within the department based on shifting priorities and business needs
Requirements:
- FINRA Series 7 and 63 required; Series 24 highly desirable
- Essential education: Bachelor’s degree
- Preferable education: Advanced degree
- Several years of directly related experience in compliance, regulatory frameworks, policies and procedures
- Strong knowledge of rules, laws and regulations relevant to securities compliance and communications, including FINRA, SEC and state laws, rules, and regulations for broker-dealers, investment advisers, and insurance companies
Application Process for Compliance Officer – Investment Management:
Qualified professionals should submit their resume to Steve Harrison: steve@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
