Sr. Analyst, Compliance

3 weeks ago

Irving, United States Resolute Investment Managers Full time
Job DescriptionJob DescriptionResolute Investment Managers, Inc.Sr. Analyst, Compliance

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. We're open to consider Hybrid (preferred) or Remote (will consider if not located in DFW area).


Job Description:

The Sr. Analyst, Compliance is responsible for implementing procedures and controls for American Beacon Advisors, Inc., and their affiliates to ensure compliance with applicable regulatory requirements of the U.S. Securities and Exchange Commission, U.S. Commodity Futures Trading Commission, and other applicable regulatory agencies.


Key Responsibilities

  • Prepare regulatory filings for affiliated investment advisers, including Form ADV and Section 13 filings
  • Conduct internal testing to monitor compliance with established procedures for the affiliated advisers under Rule 206(4)-7
  • Review marketing materials to ensure compliance with applicable regulatory requirements
  • Review portfolios managed by affiliated advisers for compliance with client guidelines and regulatory requirements
  • Assist with monitoring of employees' personal securities trading activities
  • Participate in the assessment of new rules and regulations
  • Maintain accurate and complete books and records
  • Participate in special projects, such as the evaluation and implementation of new technology, with the opportunity to manage such projects

Requirements

  • At least four years of experience in a compliance-related role at a broker-dealer, investment adviser or regulatory agency preferred
  • Working knowledge of the Investment Advisers Act of 1940 preferred
  • High attention to detail
  • Excellent organizational skills
  • Bachelor's degree or commensurate work experience

#LI-Remote



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