Director of Compliance
3 days ago
A growing registered investment adviser located in Dallas, Texas is looking for a Director of Compliance to join their team. The Director of Compliance will work alongside the firm's Chief Compliance Program to update, implement, and maintain the firm's compliance program. The firm invests in both private and public markets on behalf of hedge funds and separate account clients. This role will require 4 days a week in office.
Responsibilities :
- Manage the compliance calendar and assist in preparation of regulatory filings (ADV, PF)
- Conduct e-comm surveillance for MNPI, Code of Ethics obligations and other issues
- Administer firm's Code of Ethics
- Maintain the Restricted List and conduct trade surveillance
- Update policies, procedures, and training materials
- Review marketing materials
Qualifications :
- 4+ years of relevant compliance experience, ideally with an RIA or hedge fund
- Knowledge of the Investment Advisers Act of 1930
- Experience with private funds
- Knowledge of Smarsh, My Compliance Office a plus
The firm is open to a range of seniorities/backgrounds. They are ideally looking for someone that requires little to no training and can take the lead on the firm's compliance program. If this sounds like you, apply today
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Director of Compliance
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Dallas, United States Larson Maddox Full timeA growing registered investment adviser located in Dallas, Texas is looking for a Director of Compliance to join their team. The Director of Compliance will work alongside the firm's Chief Compliance Program to update, implement, and maintain the firm's compliance program. The firm invests in both private and public markets on behalf of hedge funds and...
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