Director of Compliance
Investment Management
Dallas, TX (Relocation Package Available)
We are representing an established and highly successful Investment business who are looking to hire a Director of Compliance, based in Dallas TX.
Why Join Us:
● Privately-held, fast-growing and profitable company – progression opportunities as business grows
● Flexible and autonomous working culture with work / life balance
● Excellent compensation and benefits package
Responsibilities:
● Manage, develop and refine compliance function and processes in conjunction with General Counsel and Chief Compliance Officer
● Preparation of regulatory reports (Section 13 filings, Form ADV, Form PF, etc.) to ensure all regulatory requirements are met
● Perform testing of policies and procedures to assess adherence and effectiveness and document the results in coordination with the firm’s compliance consultant
● Conduct electronic communication surveillance for compliance risks including MNPI, Code of Ethics obligations and other compliance issues
● Maintain the firm’s Restricted List and conduct trade surveillance related thereto and other compliance policies
● Review marketing materials (firm presentation, DDQ, investor letters, monthly performance report, etc.) to ensure adequate disclosures and support is maintained
● Administer the firm’s Code of Ethics, including the monitoring of all compliance reporting obligations and pre-clearance requests (employee personal trading, etc.)
● Update policies and procedures and training materials for regulatory developments, changes in business practices, and recommended improvements
● Draft periodic compliance communications to the firm and assist with compliance training
● Complete regulatory certifications, external requests for compliance information and other compliance program administrative duties, such as maintenance of all compliance records
● Interact with CEO, CIO and COO/CCO on various analyses, projects and initiatives
● Develop/document processes and procedures, identify enhancements and remedial actions and evolve the role to continuously adopt best practices and reduce risk
Requirements:
● Essential Education: Bachelor’s degree
● Demonstrable hands-on compliance experience at an SEC-Registered investment business and/or consulting firm or appropriate regulatory body
● Strong practical understanding of Investment Advisers Act of 1940
Relocation:
• This is an in-office role in the Dallas area – relocation package is available as necessary
Application process for Director of Compliance:
Qualified applicants to send a resume to Steve Harrison at steve@conselium.com
