In-Office Compliance Associate — Investment Management

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

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.