What are the responsibilities and job description for the Senior Compliance Analyst position at Conselium Compliance Search?
We are representing a $35 Billion AUM investment business that is hiring a Senior Compliance Analyst, based in Dallas TX.
Why Join Us:
- $35 Billion AUM investment firm established for 30 years with ongoing rapid growth and career opportunities
- Firm supports employee work-life balance and flexibility, with a supportive “people-first” environment and a collaborative approach
- Transparent and ethical client relationship management, leading to 97% client retention
Responsibilities:
- Reporting directly to the Chief Compliance Officer, you will support the compliance program for both the RIA and Broker-Dealer
- Assist in the ongoing implementation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct
- Engage in proactive surveillance activities to detect and resolve potential compliance issues
- Assist with the implementation and maintenance of the firm’s anti-money laundering program
- Receive and review requests for marketing and advertising review and approval
- Assist with inquiries from internal business partners regarding Compliance related issues
- Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of issues
- Assist in communicating the compliance program for the organization, including promoting awareness of policies and procedures, and further understanding of new and existing compliance issues
- Assist in the filing and monitoring of registration (including continuing education and ethics requirements) and memberships of the Company and all relevant associates remain current
- Prepare and submit regulatory filings including SEC Forms 13F, 13H and Form N-PX
Requirements:
- Essential Education: Bachelor’s degree
- Active FINRA licensing is beneficial to the role
- Demonstrable hands-on compliance experience at an investment firm, including exposure to SEC and FINRA regulation (RIA & BD)
- Experience reviewing and approving complex marketing materials