Senior Compliance Analyst – Investment Management (RIA/BD)

Conselium Executive Search; United States; On-site; USD 80,000 - 100,000; Full time

Job summary

Conselium Executive Search is seeking a Senior Compliance Analyst for a $35 Billion AUM investment firm in Dallas, TX. You will support the compliance program for the firm, ensuring adherence to SEC and FINRA regulations, and engage in proactive compliance surveillance. The ideal candidate will have hands-on compliance experience in an investment environment and the ability to review complex marketing materials. This position supports a work-life balance with a collaborative culture.

Qualifications

• Demonstrable hands-on compliance experience at an investment firm.
• Active FINRA licensing is beneficial to the role.
• Experience reviewing and approving complex marketing materials.

Responsibilities

• Support the compliance program for the RIA and Broker-Dealer.
• Assist in the implementation of the Compliance Program.
• Engage in proactive surveillance activities.
• Assist with anti-money laundering program implementation.
• Prepare and submit regulatory filings.

Skills

Compliance experience

Understanding of SEC regulations

Monitoring compliance

Anti-money laundering knowledge

Marketing materials review

Job description

Conselium Executive Search is seeking a Senior Compliance Analyst for a $35 Billion AUM investment firm in Dallas, TX. You will support the compliance program for the firm, ensuring adherence to SEC and FINRA regulations, and engage in proactive compliance surveillance. The ideal candidate will have hands-on compliance experience in an investment environment and the ability to review complex marketing materials. This position supports a work-life balance with a collaborative culture.