Our client, an investment management firm based in Minneapolis, MN is We’re seeking a Senior Compliance Associate to support the firm’s Compliance program with a primary focus on investment-side conflicts of interest. This role will partner closely with Investment Professionals, Legal, Operations, and Risk to identify, assess, document, and mitigate conflicts arising from investment activity, allocations, transactions, and relationships across th...
Location. Denver Area (Golden), CO. Role. Compliance Senior Associate (5 years of experience. final title aligned with experience). Reporting to. Chief Operating Officer (Chris Schell). About Channel Dynamics. Channel Dynamics is a fast-growing, entrepreneurial primary research firm and an established leader in delivering differentiated and fully compliant insights to top institutional investors. Our compliance framework is the backbone of our pr...
We are seeking a Senior Compliance Associate with experience in financial services to join our client's team. . Responsibilities. Liaise with all relevant departments to ascertain current compliance levels. Provide training and education to team members regarding regulatory compliance. Ensure that all team members are aware of the procedures to be followed to adhere to compliance requirements. Conduct regular audits in all required areas to ascer...
About Barrow Hanley Global Investors. Founded in 1979, Barrow Hanley is a diversified investment management firm offering value-focused investment strategies spanning global equities and fixed income. Recognized as one of the few remaining firms dedicated exclusively to value investing, Barrow Hanley enjoys a boutique culture with a singular focus to assist clients in meeting their investment objectives. Barrow Hanley stewards the capital of corp...
Leading hedge fund is looking for a mid/senior level associate to join it's legal & compliance team. Key Responsibilities. Monitor regulatory developments and assess their impact on internal policies, procedures, and business processes. Conduct reviews of business activities to ensure adherence to applicable laws, regulations, and internal standards. Assist in the enhancement of compliance frameworks, including policy updates, control testing, an...
THE OPPORTUNITY. We're seeking a. Senior Compliance Associate. with a robust background in securities compliance to join our wealth management client. The ideal candidate will be a detail-oriented, analytical thinker who can work both independently and collaboratively to maintain and enhance our firm's compliance program, and be able to communicate fluently with colleagues and clients in Spanish speaking countries. This role is perfect for a proa...
THE OPPORTUNITY. We're seeking a. Senior Compliance Associate. with a robust background in securities compliance to join our wealth management client. The ideal candidate will be a detail-oriented, analytical thinker who can work both independently and collaboratively to maintain and enhance our firm's compliance program, and be able to communicate fluently with colleagues and clients in Spanish speaking countries. This role is perfect for a proa...
About You. Regulatory Expert: You bring strong working knowledge of the Investment Advisers Act of 1940 and SEC-registered adviser compliance requirements, including private fund regulations. Detail-Oriented & Proactive: You thrive in complex regulatory environments and anticipate risks before they become issues. Collaborative Professional: You communicate effectively across teams and bring a solutions-oriented mindset to a growing organization. ...
