Senior Compliance Officer

Standish Management, LLC

Dallas (TX)

On-site

USD 90,000 - 120,000

Full time

14 days+

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Benefits offered by this job

Competitive pay

401(k) retirement plan

Generous paid time off

Incentive compensation

Insurance options

Job summary

A leading compliance consulting firm in Dallas, Texas is seeking a Senior Compliance Officer to enhance its service offerings. This role involves managing a team, ensuring compliance program effectiveness, and providing guidance to clients in the investment space. Candidates should possess a Bachelor's degree, strong leadership skills, and expert knowledge of regulatory environments. Offering competitive pay, benefits, and opportunities for professional growth, this position allows for hybrid and remote work options with periodic travel required.

Qualifications

Bachelor's degree is mandatory, graduate education is a plus.
Experience in leadership and team management.
Expert knowledge of investment management and private fund industry.

Responsibilities

Lead and manage a team of Compliance Officers and Analysts.
Ensure effective compliance program administration.
Maintain subject matter expertise in regulatory trends.

Skills

Leadership

Excellent communication skills

Microsoft applications proficiency

Organizational skills

Time management

Attention to detail

Professional discretion

Regulatory analysis

Education

Bachelor's degree

Graduate level education

Tools

Microsoft Outlook

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

Job description

Standish Compliance Services LLC (“Standish Compliance”) is comprised of former SEC regulators, experienced private fund professionals, certified AML/KYC specialists, IT-proficient personnel, and professional compliance consultants. Standish Compliance serves as an extension of clients’ in-house compliance functions, providing the regulatory and compliance expertise expected by institutional investors and regulatory authorities. Each client is supported by a dedicated team that works proactively to understand the client’s business and to design, implement, and administer an effective compliance program. Standish Compliance’s clients include private equity, hedge, venture capital, real asset, real estate, oil and gas, and other alternative investment funds, as well as select family offices and private wealth managers. Standish Compliance is a subsidiary of Standish Management, a leading global private fund administrator.

Position Summary

The Senior Compliance Officer will serve as a member of Standish Compliance senior management and will work strategically with leadership and firm-wide teams to build, grow, and maintain a best-in-class compliance service offering. The role includes leading and managing a team of Compliance Officers, Associates, and Analysts to deliver high-quality compliance services. The Senior Compliance Officer will maintain significant client interaction, develop a deep understanding of client businesses, and provide customized, proactive compliance guidance that enables clients to focus on their core investment activities. The role is responsible for ensuring that client service teams effectively administer compliance programs, including compliance manuals, risk assessments, monitoring and testing, annual compliance reviews, compliance documentation, and regulatory filings. The Senior Compliance Officer will maintain subject matter expertise by monitoring private fund industry developments, regulatory and enforcement trends, and evolving compliance best practices. Opportunities for advancement within the firm are available based on performance, experience, and demonstrated leadership.

Training & Development Resources

Senior Compliance Officers have access to, and contribute to the development of, a comprehensive suite of training and professional development resources to maintain current and in-depth knowledge of private fund operations and regulatory requirements. These resources include collaborative training with former regulators and experienced private fund compliance professionals covering private fund structures, SEC rulemaking and enforcement, adviser and fund filing requirements, supplemental regulatory obligations, emerging compliance topics, and core professional skills. Senior Compliance Officers also help develop and maintain a robust library of compliance modules, document templates, policies and procedures, and internal and client-facing training materials.

Qualifications Required

Bachelor’s degree is mandatory. Graduate level education is a plus.
Leadership experience developing, evaluating, motivating, equipping, and overseeing effective teams and organizations.
Commitment to and willingness to embrace Standish Compliance and Standish mission, values, and culture.
Excellent communication skills, a proactive diligent work ethic, and the ability and desire to work collaboratively in a team environment.
Proficient in Microsoft applications including Outlook, Word, Excel, and PowerPoint, with aptitude to learn new software and systems as needed.
Ability to work in a fast-paced environment, overseeing multiple staff, servicing multiple clients, demonstrating effective time/task management, and meeting strict deadlines.
Professional discretion and judgement to effectively handle confidential information, collaborate with clients and service providers, as well as Standish Compliance and Standish team members at all levels.
Expert knowledge of the investment management and private fund industry, regulatory and compliance environment, and general knowledge of accounting principles.
Expert ability to analyze and apply regulatory developments and requirements based on client business models and activities.
Strong organizational skills, attention to detail, knowledge, and ability to direct client teams, and ensure delivery of quality work product.
Ability to proactively establish, track, and achieve goals, projects, and tasks needed to ensure Standish Compliance success.