Compliance Officer

Blacklock Group; Houston (TX); On-site; USD 150,000 - 210,000; Full time

Job summary

Blacklock Group in Houston is seeking a Deputy Chief Compliance Officer to join a growing, SEC-registered investment adviser. The role is hands-on and reports directly to the CCO, offering exposure across the firm’s wealth management and investment activities.

The ideal candidate has senior compliance experience within an RIA, with wealth management or alternatives experience and deep knowledge of the Investment Advisers Act of 1940.

Qualifications

• Senior compliance experience within an RIA / investment adviser.
• Wealth management, private equity, alternatives or pooled investment experience.
• Strong knowledge of the Investment Advisers Act of 1940.
• Comfortable working closely with investment and operational teams.

Responsibilities

• Compliance monitoring, testing and surveillance.
• Investment Advisers Act / SEC regulatory requirements.
• Alternative investments and private/pooled investment vehicles.
• Client and investment management agreements.
• Code of Ethics administration.
• Third-party sub-adviser & vendor oversight.
• Electronic communications and social media review.
• Policies, procedures and supervisory controls.
• Supporting SEC examinations and the annual 206(4)-7 compliance review.

Skills

Senior compliance

RIA regulatory knowledge

Attention to detail

Job description

I’m working with a highly regarded SEC-registered investment adviser in Houston that is looking to add a Deputy Chief Compliance Officer to its growing team.

This is a hands-on role reporting directly into the CCO, with exposure across the firm’s wealth management and investment activities.

The role will cover:

• Compliance monitoring, testing and surveillance
• Investment Advisers Act / SEC regulatory requirements
• Alternative investments and private/pooled investment vehicles
• Client and investment management agreements
• Code of Ethics administration
• Third-party sub-adviser & vendor oversight
• Electronic communications and social media review
• Policies, procedures and supervisory controls
• Supporting SEC examinations and the annual 206(4)-7 compliance review

Ideal background:

• Senior compliance experience within an RIA / investment adviser
• Wealth management, private equity, alternatives or pooled investment experience
• Strong knowledge of the Investment Advisers Act of 1940
• Comfortable working closely with investment and operational teams
• Strong attention to detail and ability to operate independently