Current jobs related to Compliance Associate - Dallas - CORE-CCO Services, LLC
-
Compliance Associate
1 day ago
Dallas, Texas, United States IQ-EQ Full timeJob Title: Compliance AssociateJob Summary:IQ-EQ is seeking a highly skilled Compliance Associate to support and assist our investment adviser clients by providing regulatory compliance services. The ideal candidate will have a strong understanding of SEC Rules and regulations, as well as experience in monitoring and maintaining compliance programs.Key...
-
Compliance Associate
3 months ago
Dallas, United States The Rockridge Group Full timeJob DescriptionJob DescriptionTitle: Compliance Associate Location: Dallas, TX Company Description:Client X is a top-ranked global, independent fund administrator. Client X provides uniquely client-centric service and is the industry’s leader in technology. Headquartered in New York City and Dublin, Client X currently services more than $350 billion of...
-
Tax Compliance Senior Associate
1 week ago
Dallas, Texas, United States Grant Thornton Full timePosition Overview:As a Senior Associate in Corporate Taxation, you will play a crucial role in the planning and compliance of business income taxes, as well as engaging in ASC 740 income tax accounting projects. Key Responsibilities:You will be responsible for managing client engagements, supervising junior associates, and reviewing tax returns. Your role...
-
Regulatory Compliance Risk Associate
2 weeks ago
Dallas, Texas, United States Grant Thornton Full timePosition OverviewAs an Experienced Associate in Regulatory Compliance and Operational Risk, you will play a pivotal role in enhancing our clients' operational frameworks. Your expertise will be essential in navigating the complexities of compliance and risk management.Key ResponsibilitiesProvide comprehensive insights on emerging regulations that impact our...
-
Regulatory Compliance Risk Associate
2 weeks ago
Dallas, Texas, United States Grant Thornton Full timePosition OverviewAs an Experienced Associate in Regulatory Compliance and Operational Risk, you will play a pivotal role in enhancing our clients' operations by delivering comprehensive insights into evolving regulations.Key ResponsibilitiesProvide expert guidance on Risk Management and Compliance strategies.Assist organizations in navigating complex...
-
Regulatory Compliance Risk Experienced Associate
4 weeks ago
Dallas, United States Grant Thornton Full timeAs a Regulatory Compliance and Operational Risk Experienced Associate, you will get the opportunity to grow and contribute to our clients' business needs byproviding in-depth technical knowledge on emerging regulations and help organizations leverage Risk, Compliance, Regulatory, Associate, Experience, Project Management, Accounting
-
Dallas, Texas, United States Grant Thornton Full timePosition OverviewAs an Experienced Associate in Regulatory Compliance and Operational Risk, you will play a pivotal role in supporting our clients' business objectives. Your expertise will be essential in navigating the complexities of regulatory frameworks and ensuring compliance across various sectors.Key ResponsibilitiesProvide comprehensive insights into...
-
Senior Associate, Tax Reporting Compliance
3 weeks ago
Dallas, United States Thomas Edwards Group Full timeJob DescriptionJob DescriptionSenior Associate, International TaxOur client is seeking an eager, self-driven Senior Tax Associate to take on their international tax provisions function. This role is based in Dallas, TX and will offer hybrid flexibility, an award-winning culture, and fantastic benefits, including a robust PTO program and 100% paid parental...
-
Compliance- Monitoring/Testing Lead- Associate
4 weeks ago
Dallas, United States JPMorganChase Full timeJob Description As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk...
-
Compliance- Monitoring/Testing Lead- Associate
4 weeks ago
Dallas, Texas, United States JPMorganChase Full timeJob Description As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk...
-
Compliance, Non-Prudential Regulatory Compliance
1 month ago
Dallas, Texas, United States The Goldman Sachs Group Full timeGLOBAL COMPLIANCEOur division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of...
-
Director, Compliance
3 months ago
Dallas, United States Larson Maddox Full timeWe are currently partnered with a SEC-registered investment adviser specializing in event-driven, long/short equity strategies based in Dallas, Texas looking to add a Compliance Director to their team.Compliance Director Role Responsibilities:Manage compliance calendar and regulatory reports (e.g., Section 13 filings, Form ADV, Form PF).Test and document...
-
Compliance Specialist
1 month ago
Dallas, United States Valiant Enterprises LLC Full timeJob DescriptionJob DescriptionDescription:Job DescriptionValiant Residential is looking for a hardworking, dynamic Compliance Specialist to oversee all compliance aspects of the HUD and LURA portfolio. The ideal candidate would be a detail-oriented individual accustomed to working on a deadline driven schedule. This position will work inside the Dallas,...
-
Regulatory Compliance Analyst
2 weeks ago
Dallas, Texas, United States Valiant Enterprises LLC Full timePosition OverviewValiant Enterprises LLC is seeking a dedicated and detail-oriented Compliance Specialist to manage all compliance-related functions associated with HUD and LURA portfolios. The successful candidate will thrive in a fast-paced environment and be adept at meeting deadlines.This role will be based at our headquarters and will report directly to...
-
Lead Compliance Strategist
2 weeks ago
Dallas, Texas, United States CORE-CCO Services, LLC Full timeCompany OverviewCORE-CCO Services, LLC (Core) is a distinguished organization composed of a team of former SEC regulators, experienced private fund professionals, certified AML/KYC experts, and skilled compliance consultants. We act as an extension of our clients' internal compliance teams, providing the regulatory and compliance expertise necessary to meet...
-
Compliance Analyst
1 day ago
Dallas, Texas, United States Onbe Full timeAbout the RoleWe are seeking a meticulous and diligent Compliance Analyst to play a vital role in the Compliance department at Onbe, supporting our efforts to mitigate risks related to money laundering, terrorism financing, and other financial crimes.Key ResponsibilitiesConduct Thorough Investigations: Conduct thorough investigations and due diligence on...
-
Regulatory Compliance Supervisor
2 weeks ago
Dallas, Texas, United States Valiant Enterprises LLC Full timeJob OverviewValiant Enterprises LLC is committed to excellence in property management, driven by a foundation of experience and insight from former property owners and asset managers. With over 36 years of expertise, we focus on delivering exceptional service to our clients throughout the investment lifecycle.We are currently seeking a dedicated Compliance...
-
Director of Compliance
2 months ago
Dallas, United States Dallas Capital Bank Full timeJob DescriptionJob DescriptionAt Dallas Capital Bank, we are proud to bring a world-class banking experience that combines new technology with unceasing service to the Dallas metroplex, and the people who make it strong. We take pride in understanding our clients and the time to recognize their needs. Combining years of proficiency with a heart for service,...
-
Coordinator, Property Compliance
3 months ago
Dallas, United States Invitation Homes Full timeWho We Are Invitation Homes is a team of more than 1,400 associates who come from all walks of life. We call different communities “home," but our shared values bind us together. Invitation Homes is a place where possibility lives. The market teams include our Leasing, Property Management and Rehab, Turns & Maintenance professionals. Together, our...
-
Customs Compliance Specialist
1 week ago
Dallas, Texas, United States Trinasolar Full timeKey Responsibilities:Examine import and export documentation to verify the accuracy of customs declaration paperwork, ensuring efficient customs clearance.Oversee the entire customs clearance process for both imports and exports, proactively resolving any issues and improving customs declaration efficiency.Guarantee the timely return and appropriate storage...
Compliance Associate
2 months ago
Company Description
CORE-CCO Services, LLC (Core) is comprised of a team of former SEC regulators, seasoned private fund experts, certified AML/KYC specialists, IT-proficient staff, and professional compliance consultants. We serve as an extension of our clients’ in-house compliance team to provide the regulatory and compliance expertise firms need and that institutional LPs and regulators expect. We assign a dedicated team that works proactively with each client, getting to know and understand their business to design, implement, and administer an effective compliance solution. We provide proactive high-touch compliance expertise and services to leading and emerging private fund managers. Our clients include private equity funds, real-asset funds, hedge funds, venture capital funds, real estate funds, oil and gas funds, other alternative investment funds, and select family offices and private wealth managers. Core is a subsidiary of Standish Management, a leading global private fund administrator.
Opportunity
The Compliance Associate will work as an integral part of client teams together with Senior Compliance Officers, Compliance Officers and Analysts to deliver exceptional compliance services. The Compliance Associate will have the unique opportunity to learn the financial services industry and SEC compliance practices from veteran SEC and industry experts, mid-level seasoned compliance professionals and dedicated junior team members in an inviting and rewarding atmosphere. Core is a fast-paced, high-energy firm where the Compliance Associate will have opportunities to grow and advance within the firm as his/her knowledge, skills, experience, and enthusiasm permit.
The Compliance Associate will be called upon to study and understand new regulatory developments, assist with the development of compliance tracking tools, and participate in client development activities. The Compliance Associate will work closely with senior management and other compliance professionals within Core to expand his/her knowledge and expertise of the private fund industry and investment adviser regulatory and compliance requirements.
Position Summary
- The Compliance Associate candidate must:
- Serve as part of Core client service teams and work together with others to help organize and deliver exceptional compliance services.
- Work closely with the Core team to learn the private fund industry, clients’ businesses, and compliance program, as well as regulatory and compliance requirements.
- Maintain compliance calendars, update checklists, organize, track, and review firm and employee compliance reporting, and monitor firms’ compliance with policies, procedures, and regulations.
- Assist in preparing and reviewing regulatory filings.
- Operationalize projects, such as firm migration onto new compliance reporting systems.
- Assist Core clients in complying with AML, KYC, and OFAC regulatory requirements.
Training & Development Resources
Core Compliance Associates will have at their disposal a full suite of resources and tools to ensure current and comprehensive knowledge of private funds, legal and regulatory requirements, and Core compliance and client service processes, and other critical skills. Core’s comprehensive resources include personalized and collaborative training and development with highly experienced former regulators and private fund compliance experts and Core colleagues on 1) private funds structures and operations; 2) SEC regulation, rulemaking developments, examinations and enforcement; 3) SEC regulatory and filing requirements for investment advisers and private funds; 4) adjacent and supplemental regulatory requirements; 5) new developments and topics in regulation and compliance; and 6) critical professional skills. In addition, Core Compliance Officers have access to a full library and toolbox of compliance modules, document templates, operating policies and procedures, internal and client facing training materials, and instructional resources.
Qualifications Required
- Bachelor’s degree mandatory.
- Interest in the investment management and private fund industry, regulatory and compliance environment, and accounting principles.
- Excellent communication skills, a proactive diligent work ethic, and the ability and desire to work collaboratively in a team environment.
- Proficiency in Microsoft applications including Outlook, Word, Excel, and PowerPoint, with aptitude to learn new software and systems as needed.
- Ability to work in a fast-paced environment, supporting multiple team members and client service teams, utilizing effective time/task management to meet strict deadlines.
- Ability to handle confidential information and work with limited supervision.
- Strong organizational skills and attention to detail
- Ability to develop and maintain Excel spreadsheets and manage, organize, and analyze data and information.
- Ability to follow instruction and complete tasks in a timely manner, seeking additional clarification and guidance as needed.
- Ability to work proactively to identify tasks and projects needed to provide a high level of service.
- Ability to take initiative and responsibility for completing tasks without being instructed.
- Ability to quickly shift from one client to another and stay organized and focused.
Compensation and Benefits
- Competitive pay (commensurate with candidate’s education and experience)
- 401(k) retirement plan with employer matching
- Paid time off
- Health / Dental / Vision Insurance
- Other insurance options, tax-preferred programs and employee benefits
- Generous paid time off
Schedule and Work Environment
- 8:30 am – 5:30 pm Monday to Friday
- Professional in-office setting
- Minimal travel required
- Comprehensive internal training program for ongoing professional development