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Analyst / Sr. Analyst, Compliance (Broker Dealer)

2 months ago

Irving, United States Resolute Investment Managers Full time
Job DescriptionJob DescriptionResolute Investment Managers, Inc.Analyst / Sr. Analyst, Compliance (Broker Dealer)

Resolute Investment Managers, Inc. ("Resolute") is a diversified, multi-affiliate asset management platform that partners with affiliated and independent investment managers. The clients of Resolute and our affiliates include corporate defined benefit plans, institutions and individual investors. We trace our history to 1986 when an affiliate, American Beacon Advisors, Inc. (formerly AMR Investment Services, Inc.), began providing investment management services as an independently operated entity. Since 1987, American Beacon Advisors has managed the American Beacon Funds family of mutual funds. Over the years, American Beacon has built a reputation for innovative thinking, discipline and prudent investing, which has led to several prestigious awards for its pension management, cash management and mutual fund investment services. Today, Resolute is a privately held organization owned by a consortium of investment funds affiliated with leading financial institutions. In December 2023, Resolute Investment Managers was named one of the Best Places to Work in Money Management by Pensions & Investments for the fifth consecutive year. Learn more about our company by visiting www.resolutemanagers.com


Our office is located in Las Colinas, Texas. This position will have the following consideration:

Hybrid (preferred): Works regularly both onsite (currently 3+ days per week) and remote, resides within the headquarters office locality

Remote (will consider): Works primarily offsite, resides outside of the headquarters office locality within in the continental US


Job Description:

The Analyst / Sr. Analyst, Compliance is responsible for implementing procedures and controls for Resolute Investment Distributors, Inc. and American Beacon Advisors, Inc. to ensure compliance with applicable regulatory requirements of the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority, S. Commodity Futures Trading Commission, and other applicable regulatory agencies.


Key Responsibilities

  • Assists the Chief Compliance Officer in developing compliance policies and procedures to ensure the organization's activities comply with all pertinent legal and regulatory requirements
  • Performs special projects as required, such as compliance analyses of proposed new investment products
  • Review marketing materials to ensure compliance with applicable regulatory requirements
  • Assist with FINRA registration requirements for the broker dealer and its registered representatives
  • Maintain accurate and complete books and records
  • Conduct testing to monitor compliance with established procedures
  • Review mutual fund disclosure documents for consistency with regulatory requirements
  • Under the direct supervision of the Chief Compliance Officer, provide compliance support to registered representatives
  • Participate in assessments of new rules and regulations
  • Participate in special projects, such as the evaluation and implementation of new technology, with the opportunity to manage such projects

Requirements

  • Bachelor's degree or commensurate work experience
  • At least two years of experience at a broker-dealer, investment adviser or regulatory agency
  • FINRA Securities Industry Essentials exam, Series 7 and 24 licenses (Required within 6 months of hire if not already obtained)
  • Working knowledge of the federal securities laws as they apply to broker-dealers preferred
  • High attention to detail
  • Excellent organizational skills

#LI-Hybrid



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