Senior Compliance Officer – RIA & Wealth Advisory

The HT Group; Dallas (TX); On-site; USD 120,000 - 180,000; Full time

Job summary

The HT Group is partnering with an independent wealth advisory firm to recruit a Compliance Officer for a Registered Investment Advisor environment. This role reports to the Chief Compliance Officer and oversees day-to-day regulatory compliance, including testing, policy administration, and vendor oversight.

The successful candidate will bring deep knowledge of U.S. securities laws, a track record in RIAs, and the ability to translate complex regulations into practical guidance for teams across

Qualifications

• Prior experience in a senior compliance role within a Registered Investment Advisor (RIA) environment.
• Experience supporting wealth management, private equity, pooled investment products, or a comparable regulatory environment.
• Strong knowledge of the Investment Advisers Act of 1940 and applicable U.S. federal securities laws.
• Ability to independently identify compliance issues and escalate appropriately.

Responsibilities

• Perform regulatory testing, monitoring, and surveillance related to registered investment advisor requirements.
• Monitor and analyze applicable laws, regulations, and industry practices affecting the firm.
• Support day-to-day compliance activities related to portfolio management and client reporting.
• Review and approve investment management agreements and support reviews involving alternative investments.
• Review offering documentation associated with proprietary pooled investment vehicles and separately managed accounts.
• Provide compliance guidance to marketing, operations, and other business functions.
• Assist with the firm's annual compliance program review under Rule 206(4)-7.
• Support regulatory examinations and interactions with SEC and other regulators.

Skills

RIA experience

Regulatory testing

Written communication

Cross-functional collaboration

Job description

The HT Group is partnering with an independent wealth advisory firm to recruit a Compliance Officer for a Registered Investment Advisor environment. This role reports to the Chief Compliance Officer and oversees day-to-day regulatory compliance, including testing, policy administration, and vendor oversight.

The successful candidate will bring deep knowledge of U.S. securities laws, a track record in RIAs, and the ability to translate complex regulations into practical guidance for teams across