Compliance Associate

Larson Maddox

Dallas (TX)

On-site

USD 110,000 - 120,000

Full time

14 days+

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Job summary

A premier investment management firm located in Dallas is looking for a Compliance Associate to join their growing team. This role requires 4 days in the office and entails regulatory filings, marketing material reviews, and compliance training. The ideal candidate should have at least 2 years of compliance experience and knowledge of the Investment Advisers Act of 1940. This full-time role supports the Chief Compliance Officer in maintaining a robust compliance program.

Qualifications

2+ years of compliance experience required.
Knowledge of Investment Advisers Act of 1940 is a must.

Responsibilities

Conduct regulatory filings such as Form ADV & PF.
Review marketing materials for compliance.
Administer the Code of Ethics and monitor personal trades.
Update and maintain policies and procedures.
Conduct compliance training and onboarding.

Skills

Regulatory filings

Policy updates

Compliance training

Marketing materials review

Job description

Base Pay Range

$110,000.00/yr - $120,000.00/yr

A premier alternative investment management firm located in DFW is looking to bring on a Compliance Associate to their growing team. With 170+ employees across the globe and $19B+ in AUM, this firm has diverse capital offerings including capital solutions, direct lending, derivatives and fund liquidity. The Compliance Associate will support the firm's Chief Compliance Officer on maintaining a robust program. This role will require 4 days in office.

Responsibilities

Regulatory filings such as Form ADV & PF
Review of marketing materials
Code of Ethics administration, personal trade monitoring, maintaining restricted lists etc
Update/maintain policies and procedures
Conduct compliance trainings/onboarding

Requirements