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Head of Compliance Operations

2 months ago

Dallas, Texas, United States Larson Maddox Full time

We are collaborating with a reputable investment advisory firm, seeking to appoint a Compliance Director to enhance their compliance framework.

Key Responsibilities of the Compliance Director:

  • Oversee the compliance calendar and ensure timely submission of regulatory documentation.
  • Evaluate and document compliance policies and procedures.
  • Assess electronic communications to identify compliance vulnerabilities.
  • Manage the Restricted List and perform trade monitoring.
  • Scrutinize marketing materials to ensure accurate disclosures.
  • Implement the Code of Ethics and supervise compliance reporting.
  • Revise policies, procedures, and training resources as necessary.
  • Compose compliance communications and support training initiatives.
  • Engage with senior leadership on compliance-related projects.

Qualifications for the Compliance Director:

  • A bachelor's degree is mandatory.
  • Minimum of 5 years of compliance experience, ideally within investment advisory or compliance consulting.
  • Familiarity with applicable regulations in the sector.
  • Exceptional communication, meticulous attention to detail, and strong organizational capabilities.

Location and Benefits:

  • Position located in a major metropolitan area.
  • Attractive salary and performance-based bonus.
  • Comprehensive healthcare benefits, 401(k) matching, and fitness membership included.