Director of Compliance
3 weeks ago
Job Title:
Director of Compliance
Firm Summary:
A SEC-registered investment adviser that employs an event-driven long/short equity investment strategy focused on the biotechnology sector. The firm launched in 2016 and invests in both the public and private markets on behalf of hedge funds and separate account clients.
Position Responsibilities:
Manage the firm’s compliance calendar and assist with preparation of regulatory reports (Section 13 filings, Form ADV, Form PF, etc.) to ensure all regulatory requirements are met
Perform testing of policies and procedures to assess adherence and effectiveness and document the results in coordination with the firm’s compliance consultant
Conduct electronic communication surveillance for compliance risks including MNPI, Code of Ethics obligations, and other compliance issues
Maintain the firm’s Restricted List and conduct trade surveillance related thereto and other compliance policies
Review marketing materials (firm presentation, DDQ, investor letters, monthly performance report, etc.) to ensure adequate disclosures and support is maintained
Administer the firm’s Code of Ethics, including the monitoring of all compliance reporting obligations and pre-clearance requests (employee personal trading, etc.)
Update policies and procedures and training materials for regulatory developments, changes in business practices, and recommended improvements
Draft periodic compliance communications to the firm and assist with compliance trainings
Complete regulatory certifications, external requests for compliance information and other compliance program administrative duties, such as maintenance of all compliance records
Interact with CEO, CIO and COO/CCO on various analyses, projects, and initiatives
Develop/document processes and procedures, identify enhancements and remedial actions and evolve the role to continuously adopt best practices and reduce risk
Qualifications:
Bachelor’s degree required
Minimum 3 to 5 years employment in a compliance role (strong preference for in-house experience at an RIA or compliance consulting firm working with hedge funds)
Strong knowledge of the Investment Advisers Act of 1940 and other rules and regulations applicable to investment advisers and private funds
Proficiency with Excel required; experience with Smarsh, My Compliance Office, and portfolio management systems beneficial
Superior written and verbal communication skills; exceptional attention to detail
Ability to spot issues, multi-task, work independently or collaboratively, and willingness to take ownership and accept any task that will benefit a growing organization
Excellent project management, organizational skills, work ethic, morals and integrity
#J-18808-Ljbffr
-
Director Compliance Capabilities
5 days ago
Dallas, United States Southern Glazer's Wine & Spirits of America Full timeThis Director Compliance Capabilities Standards, Training & Awareness, Systems & Analytics works cross functionally to develop and implement standards setting out the companys expectations, develop and deliver training and awareness programs desig Director, Compliance, Training, Systems, Analytics, Business Partner, Business Services
-
Director Compliance Capabilities
6 days ago
Dallas, United States Southern Glazer's Wine & Spirits of America Full timeThis Director Compliance Capabilities Standards, Training & Awareness, Systems & Analytics works cross functionally to develop and implement standards setting out the companys expectations, develop and deliver training and awareness programs desig Director, Compliance, Training, Systems, Analytics, Business Partner, Business Services
-
Tax Director, Compliance
2 weeks ago
Dallas, United States Heidelberg Materials US, Inc. Full timeAutoReqId: 19732BR Pay Class: Salaried Exempt Minimum Pay Rate: $163,880.00 Maximum Pay Rate: $225,327.50 Department: Human Resources Line of Business: Corporate Administration (SSC, IT, Employee Services, Etc.) Position Type: Full-Time Job Posting: THE ROLE AND THE COMPANY Heidelberg Materials provides the materials...
-
Franchise Compliance Manager
3 weeks ago
Dallas, United States Hana Group Full timeJob DescriptionJob DescriptionCompany DescriptionHana Group is a multinational company leading sales in pan-Asian cuisine sold in grocery retailers and commerce marketplaces. The company has tailored brands providing custom collaborations to our partners and to our consumers. Through our distribution company, GHG Logistics, we are able to deliver on our...
-
Franchise Compliance Manager
3 weeks ago
Dallas, Texas, United States Hana Group Full timeCompany DescriptionHana Group is a multinational company leading sales in pan-Asian cuisine sold in grocery retailers and commerce marketplaces. The company has tailored brands providing custom collaborations to our partners and to our consumers. Through our distribution company, GHG Logistics, we are able to deliver on our mission of sustainable sourcing...
-
Managing Director
3 weeks ago
Dallas, Texas, United States IQ-EQ Full timeJob Description Managing Director Key Components: This position requires strong concern for quality and accuracy of work with a results-oriented focus. The work involves critical and technical thinking and problem solving based on detailed knowledge of all pertinent facts and thorough analysis of relevant details. There is an intense focus on complex,...
-
Franchise Compliance Manager
4 weeks ago
Dallas, Texas, United States Hana Group Full timeJob Description The Franchise Compliance Manager is responsible for ensuring that the franchisor and its franchisees adhere strictly to the Franchise Disclosure Document (FDD) requirements, as well as federal and state franchise laws. This role involves monitoring franchise operations, writing cure letters for compliance breaches, and creating comprehensive...
-
Director of Safety
1 week ago
Dallas, United States MV Transportation, Inc. Full timeMV Transportation is seeking a Director of Safety to lead our Central and Northeast regions in the oversight and management of our safety programs, policies, and procedures in compliance with our regulating authorities, corporate policies, and collec Director, Safety, Transportation, Operations, Management, Compliance, Business Services
-
Dallas, United States Baylor Scott & White Health Full timeJOB SUMMARY Reporting to the SVP, Chief Corporate Ethics and Compliance Officer, the VP Corporate Compliance is responsible for planning, developing, and enforcing compliance programs for Baylor Scott and White Health (BSWH), which includes varied compliance risk-based functions and programs such as hospital regulatory compliance, provider compliance,...
-
IT Governance, Risk, and Compliance Manager
4 days ago
Dallas, United States Trinity Industries Full timeTrinity Industries is hiring an IT Governance, Risk, and Compliance Manager in our Dallas, TX office. Below, you will find a complete breakdown of everything required of potential candidates, as well as how to apply Good luck. The IT Governance, Risk, and Compliance (IT GRC) Manager functions within the Information GRC (IGRC) team, reporting to the Senior...
-
IT Governance, Risk, and Compliance Manager
3 weeks ago
Dallas, United States TrinityRail Full timeTrinity Industries is hiring an IT Governance, Risk, and Compliance Manager in our Dallas, TX office. The IT Governance, Risk, and Compliance (IT GRC) Manager functions within the Information GRC (IGRC) team, reporting to the Senior Director of IGRC within the Information Risk Management organization. The IT GRC Manager will be responsible for the execution...
-
IT Governance, Risk, and Compliance Manager
2 weeks ago
Dallas, United States Trinity Industries, Inc. Full timeTrinity Industries is hiring an IT Governance, Risk, and Compliance Manager in our Dallas, TX office.The IT Governance, Risk, and Compliance (IT GRC) Manager functions within the Information GRC (IGRC) team, reporting to the Senior Director of IGRC within the Information Risk Management organization. The IT GRC Manager will be responsible for the execution...
-
IT Governance, Risk, and Compliance Manager
2 weeks ago
Dallas, United States Trinity Industries, Inc. Full timeTrinity Industries is hiring an IT Governance, Risk, and Compliance Manager in our Dallas, TX office.The IT Governance, Risk, and Compliance (IT GRC) Manager functions within the Information GRC (IGRC) team, reporting to the Senior Director of IGRC within the Information Risk Management organization. The IT GRC Manager will be responsible for the execution...
-
IT Governance, Risk, and Compliance Manager
2 weeks ago
Dallas, United States Trinity Industries, Inc. Full timeTrinity Industries is hiring an IT Governance, Risk, and Compliance Manager in our Dallas, TX office.The IT Governance, Risk, and Compliance (IT GRC) Manager functions within the Information GRC (IGRC) team, reporting to the Senior Director of IGRC within the Information Risk Management organization. The IT GRC Manager will be responsible for the execution...
-
Director of Finance
1 week ago
Dallas, United States Phoenix House Texas Full time- Providestrategic financial leadership to the organization, working closely with the ChiefExecutive Officer and Board of Directors. - Develop andimplement financial policies, procedures, and internal controls to ensure theorganization's financial integrity. 2. Budgeting andForecasting: - Lead the annualbudgeting process, collaborating with department heads...
-
Quality & Compliance Auditor
4 weeks ago
Dallas, United States Southwest Transplant Alliance Full timeGeneral Statement (Summary of duties & responsibilities): The incumbent is primarily responsible for conducting process audits of Southwest Transplant Alliance’s (STA) operations to assess compliance with STA’s policies and procedures, government guidelines and laws. Education and Work Experience Qualifications: Associates degree in health sciences...
-
Assistant Center Director
1 month ago
Dallas, United States The Learning Experience #336 Full timeJob DescriptionJob DescriptionFull Job DescriptionAssistant Directors at The Learning Experience influence the growth and development of both children and teachers. They create an environment of collaboration and community, encouraging everyone to thrive.RESPONSIBILITIESAssist the Director with the daily operation of the Center.Assist the Director with...
-
IT Director- Texas
3 days ago
Dallas, United States American Consultants Full timeIT Director- Dallas, TX AreaAmerican Consultants has a perm position for an IT Director in the Dallas TX area.Job Summary:• Reinforces values, promotes Compliance Plan and demonstrates proficiency in understanding of training materials and applicable laws and standards.• Completes the required corporate integrity and compliance training and education...
-
HR Director
6 days ago
Dallas, United States HumCap Full timeJob Description Job Description Job Title: HR Director Location: Dallas, Texas Company Overview: Our client is a dynamic and fast-moving industry leader in real estate investment, with multiple verticals and a complex organizational structure. Their commitment to excellence drives them to seek a highly skilled and experienced HR Director to join their team...
-
HR Director
3 weeks ago
Dallas, United States Soni Resources Group Full timeSoni Pro based in Dallas, Texas, is seeking an experienced and dynamic HR Director to lead the Human Resources department for a growing organization. As a leading company in the industry, our client is committed to fostering a positive work culture and attracting, developing, and retaining top talent. The HR Director will play a crucial role in shaping and...