Deputy Chief Compliance Officer - Investment Management Job at Conselium Compliance Search, Dallas, TX

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  • Conselium Compliance Search
  • Dallas, TX

Job Description

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
  • 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 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

Job Tags

Flexible hours,

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