Senior Compliance Officer – RIA
Investment Management
Dallas, TX (Relocation package available; 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 and the business as a whole
- Vibrant, modern offices and a positive and collaborative working culture
Responsibilities:
- Assist the Director of RIA Compliance in the development, implementation, and maintenance of the asset management and securities compliance programs
- This position seeks to ensure compliance with SEC regulations while supporting the Securities and Asset Management arms of the business in meeting their regulatory responsibilities; position focused on advisory operations subject to the requirements set forth by the Investment Adviser Act of 1940 and the Investment Company Act of 1940
- Assist in performing annual 206(4)-7 review; support periodic mock regulatory exams; aid in responding to regulatory inquiries and examinations from the SEC and other regulatory bodies
- Develop, implement, and maintain current compliance policies, procedures, and processes to ensure compliance with applicable rules and regulations
- Assist with the preparation, submission, and maintenance of regulatory filings including Form ADV, Form CRS, 13D, 13F, 13H filings and other regulatory filings as required for multiple investment advisers
- Become a proficient user of the firm’s compliance management systems and technologies
- Effectively communicate regulatory requirements and policies and procedures both internally and to Member Firms
- Work with other compliance team members to support adherence with the Code of Ethics
- Proactively identify inefficiencies across all aspects of the firm’s compliance program and develop solutions for improvement, with the intent of increasing efficiencies and the effectiveness of the advisory compliance program
- Address compliance issues that arise from the daily operations of the advisory business
- Assist with special assignments and perform other compliance department related duties
Requirements:
- Essential Education: Bachelor’s degree
- You must have significant Registered Investment Advisor Compliance experience, demonstrated clearly on your resume
- 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 and extensive knowledge in investment advisory space
- If not currently residing in the Dallas TX area you will need to relocate (with support)
Application Process for Senior Compliance officer – RIA
Qualified professionals should submit their resume to Steve Harrison: steve@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
