Compliance Associate

Larson Maddox; Dallas (TX); On-site; USD 110,000 - 120,000; Full time

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

• 2+ years of compliance experience
• Knowledge of Investment Advisers Act of 1940

Seniority Level

Associate

Employment Type

Full-time

Job Function

Finance, General Business, and Legal

Industries

Investment Management, Financial Services, and Legal Services