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Compliance Officer

2 months ago

Dallas, United States Larson Maddox Full time

We are currently partnered with a Hedge Fund specializing in event-driven, long/short equity strategies based in Dallas, Texas looking to add a Compliance Director to their team.


Compliance Officer Role Responsibilities:

  • Manage compliance calendar and regulatory reports (e.g., Section 13 filings, Form ADV, Form PF).
  • Test and document compliance policies and procedures.
  • Monitor electronic communications for compliance risks.
  • Maintain Restricted List and conduct trade surveillance.
  • Review marketing materials for proper disclosures.
  • Administer Code of Ethics and monitor compliance reporting and pre-clearance requests.
  • Update policies, procedures, and training materials.
  • Draft compliance communications and assist with training.
  • Collaborate with senior management on compliance projects.


Compliance Officer Associate Qualifications:

  • Bachelor’s degree required.
  • 5 + years of compliance experience, preferably with an RIA or compliance consulting firm.
  • Knowledge of the Investment Advisers Act of 1940 and relevant regulations.
  • Strong written and verbal communication skills, attention to detail, and organizational skills.


Location and Compensation:

  • Based in Dallas, Texas.
  • Competitive salary (based on experience) and annual bonus.
  • Employer-paid healthcare, 401(k) matching, and gym membership.