We are representing a $35 Billion AUM investment business that is hiring a Senior Compliance Analyst, based in Dallas TX.
Why Join Us:
$35 Billion AUM investment firm established for 30 years with ongoing rapid growth and career opportunities
Firm supports employee work-life balance and flexibility, with a supportive “people-first” environment and a collaborative approach
Transparent and ethical client relationship management, leading to 97% client retention
Responsibilities:
Reporting directly to the Chief Compliance Officer, you will support the compliance program for both the RIA and Broker-Dealer
Assist in the ongoing implementation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct
Engage in proactive surveillance activities to detect and resolve potential compliance issues
Assist with the implementation and maintenance of the firm’s anti-money laundering program
Receive and review requests for marketing and advertising review and approval
Assist with inquiries from internal business partners regarding Compliance related issues
Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of issues
Assist in communicating the compliance program for the organization, including promoting awareness of policies and procedures, and further understanding of new and existing compliance issues
Assist in the filing and monitoring of registration (including continuing education and ethics requirements) and memberships of the Company and all relevant associates remain current
Prepare and submit regulatory filings including SEC Forms 13F, 13H and Form N-PX
Requirements:
Essential Education: Bachelor’s degree
Active FINRA licensing is beneficial to the role
Demonstrable hands-on compliance experience at an investment firm, including exposure to SEC and FINRA regulation (RIA & BD)
Experience reviewing and approving complex marketing materials
