Compliance Analyst

A premier alternative investment management firm located in DFW is looking to bring on a Compliance Associate to their growing team. With 170+ employees across the globe and $19B+ in AUM, this firm has diverse capital offerings including capital solutions, direct lending, derivatives and fund liquidity. The Compliance Associate will support the firm's Chief Compliance Officer on maintaining a robust program. This role will require 4 days in office.

Responsibilities :

• Regulatory filings such as Form ADV & PF
• Reviews of employee trading activity, personal brokerage accounts, gifts and entertainment, and policy attestations
• Organize and maintain compliance training materials, policy updates, and internal communications
• Review of marketing materials
• Code of Ethics administration, personal trade monitoring, maintaining restricted lists etc
• Update/maintain policies and procedures
• Remain informed of regulatory developments, compliance best practices, and evolving industry standards through ongoing training and professional development
• Conduct compliance trainings/onboarding

Requirements :

• Bachelors Degree
• 2+ years of compliance experience
• Knowledge of Investment Advisers Act of 1940
• Team player, good communicator, professional
• Strong attention to detail and organizational skills, with the ability to manage multiple priorities

This role plays a key part in ensuring the timely execution of compliance activities and supporting the firm's ongoing efforts to maintain a strong culture of compliance in a dynamic, fast-paced environment- apply today!