We are representing a well-established investment firm in Dallas TX in their search for a Senior Compliance Associate
Why Join Us:
- Firm established for over 40 years with impressive growth and performance throughout
- Lean, collaborative environment with direct working relationships across all teams including front office portfolio managers and analysts
- Culture built on support, work life balance and flexibility, working together as a team to reach business goals
Responsibilities:
- Reporting to and supporting the Chief Compliance Officer as part of a five-person compliance team, providing guidance to the firm’s employees at all levels, providing service to clients, development, implementation, and maintenance of policies and procedures designed to mitigate risk
- Support investment selection and implementation / trading by managing ‘Charles River’ rules library and monitoring daily trading and nightly batch reviews of clients’ guidelines and restrictions
- Responsible for client relations/support with compliance staff of assigned clients, manage and complete 15(c) and DDQ reports with supporting documentation and other compliance certifications/reports
- Manage and monitor the ‘StarCompliance’ system for employees’ reporting
- Conduct compliance reviews of advertising material produced by Client Development and Marketing teams
- Meet deadlines to fulfill SEC, state, federal, foreign country, and other applicable filings and requirements
- Support and maintain Compliance Policies & Procedures Manual, Code of Ethics and Conduct, Governing Policies, IT Security Policies and Procedures, and Affiliate Level Risk Policies
- Support annual compliance program review, including conducting forensic tests of the firm’s internal controls
- Work closely with co-workers to provide training on the firm’s policies and use of the firm’s systems for monitoring and reporting activities; Engage with and be a resource to co-workers at all levels on the firm’s internal control policies and their application and effective implementation to the business
- Support the development and implementation of new technology to ensure compliance is built into the use of these systems
- Support the firm’s three lines of defense risk management strategy in coordination with the parent company
- Support CCO in performing internal compliance reviews and monitoring activities, including periodic reviews of business units’ policies, procedures, processes and confidential investigations
- Monitor and review reporting systems and employees’ actions required by the firm’s internal control policies and securities regulations
- Conduct compliance tests and/or reviews as directed by the CCO, identify discrepancies, and support the business from a technical perspective in developing appropriate remedial actions.
- Maintain knowledge of current applicable regulatory requirements; Provide sound technical support on the complex interpretation and understanding of new regulations and policy (including supporting documents and systems) requirements
Requirements:
- Investment company / RIA compliance experience including exposure to ‘40 Act compliance
- Desirable experience to include Fixed Income / Equity Market exposure and marketing materials compliance
- Essential Qualification: Bachelor’s Degree
Application Process for Senior Compliance Associate – Qualified professionals are to submit Resume to Steve Harrison at: steve@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
