Senior Compliance Executive

2 weeks ago


Dallas, Texas, United States Fortress Investment Full time

Position Overview
Fortress Investment Group LLC is seeking a seasoned Compliance Officer to enhance our Legal and Compliance Department. As a prominent global investment manager, we oversee approximately $49 billion in assets.

About Fortress
Founded in 1998, Fortress manages a diverse portfolio for over 2,000 institutional clients and private investors globally, focusing on credit and real estate, private equity, and permanent capital investment strategies. Our commitment to investment performance drives us to deliver robust risk-adjusted returns for our clients.

Key Responsibilities
The successful candidate will collaborate with various departments and contribute to critical compliance functions, including:

  • Overall management of the Fortress compliance framework
  • Execution of the annual compliance review in accordance with SEC regulations
  • Maintenance of the firm's Restricted Trading List
  • Analysis of trade surveillance reports related to fund trading activities
  • Review of marketing materials and addressing inquiries regarding personal trading, private investments, gifts, and entertainment
  • Support in regulatory reporting and compliance filings
  • Conducting additional compliance tasks, including routine regulatory examinations and periodic compliance testing

Qualifications
The ideal candidate will possess:

  • A Bachelor's degree with a strong academic record
  • 7-10+ years of experience in a legal and compliance role within a SEC-registered investment adviser
  • Exceptional work ethic, attention to detail, and organizational skills
  • A genuine desire for professional growth and development
  • Proven ability to manage multiple tasks, solve problems, and think critically
  • Technical proficiency with relevant computer applications

Fortress Investment Group LLC is an equal opportunity employer, considering all applicants without regard to race, religion, creed, color, sex, age, national origin, citizenship status, disability, genetic information, protected veteran status, marital status, sexual orientation, gender identity, or any other status protected by law.


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