Compliance Associate
Compliance Associate - Dallas (Onsite, 5 days/week)
A leading global investment firm is seeking a Compliance Associate to join its growing team. This role offers the opportunity to work in a dynamic environment focused on private equity and credit strategies, supporting businesses across technology, industrials, and consumer sectors. The firm values integrity, collaboration, and operational excellence, making this an ideal setting for professionals who want to make an impact in compliance.
What You'll Do:
- Assist with regulatory filings, including SEC Forms ADV and PF, and conduct compliance reviews to ensure adherence to regulatory standards.
- Monitor employee trading and oversee AML/KYC processes to maintain strong internal controls.
- Support audits and perform due diligence on investors and counterparties, ensuring transparency and risk mitigation.
- Help develop and implement compliance policies and training programs that foster a culture of compliance across the organization.
What We're Looking For:
- Bachelor's degree and 3-5 years of experience in financial services or compliance.
- Strong communication, organizational, and analytical skills with attention to detail.
- Proficiency in Microsoft Office and ability to manage multiple priorities in a fast-paced environment.
Benefits:
Competitive compensation, medical, dental, and vision coverage, PTO, 401(K), and professional development opportunities. Join a collaborative, high-performance team where compliance plays a critical role in driving success.
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