Compliance Jobs

Senior Compliance Associate, Investment Management, Dallas, TX

By April 28, 2021 No Comments

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


  • 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


  • 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:

Published by Conselium Executive Search, the global leader in compliance search.  

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