ISC’s Financial Services Recruitment team is partnering with a leading and highly ranked Investment Firm with a strong US presence with international growth. The organization is looking for a Compliance Associate to join their Dallas, Texas Office.
The Compliance Associate will oversee the firm’s code of ethics and employee compliance program as an instrumental support to the regulatory side. This individual will also oversee testing and assist in implementing processes/procedures.
Ideal opportunity for a Financial Services Compliance professional with 3-5 years of experience who is looking for autonomy and ownership over a broader part a compliance program. This person will not be siloed and has an opportunity to work across the Compliance program of a successful and growing global investment firm.
Compliance Associate Qualifications
• Oversee company compliance procedures, practices, and documents to identify possible weaknesses or risks.
• Oversee Firm’s Code of Ethics for employees, taking ownership of this program.
• Manage external consultants, auditors, and vendors as the main point of contact from the Firm.
• Assist with the maintenance, organization and filing of compliance books and records.
• Communicate with management the organization’s weaknesses and noncompliance situations through detailed reports.
• Manage new employee compliance training.
• Conduct audits to identity potential weakness and noncompliance situations.
• Create and implement compliance procedures, document compliance findings, and maintain compliance logs.
• Maintain the firm’s compliance calendar.
• Review marketing materials for regulatory compliance.
• Preparation of regulatory filings (e.g., ADV) in conjunction with the Legal/Compliance team.
• Communicate and educate employees to ensure compliance awareness both with internal and external laws and regulations.
• Understand regulatory requirements, stay informed of new developments, and help design and implement responsive compliance efforts.
• Assist with responding to regulatory inquiries and on-site examinations.
• Perform firm and fund administrative tasks – this includes forming entities, LEIs, and regulatory mailings.
Compliance Associate Rewards:
• The opportunity to be mentored by some of the brightest in the industry.
• Collaborate with teams across offices and building out a compliance department.
• Frequent and direct contact with key stakeholders within the organization.
• Autonomy over your position and design of regulatory compliance department.
• Tremendous long term growth opportunity and development with a thriving company.
Compliance Associate Requirements:
• Bachelor’s degree required.
• 3-5 years of financial services compliance experience with an SEC-registered investment adviser or SEC compliance consulting firm.
• Possess working knowledge of SEC rules and regulations applicable to investment advisory firms.
• Superior written and verbal communication skills, including experience in drafting short memos and/or compliance policies.
Referrals – Do you know someone who may be a fit?
We gladly pay $500 for referrals that result in hire and keep all referrals confidential unless you ask us to use your name.