An asset management firm specializing in energy investments is looking to bring on a Compliance Associate to the Houston team.
Title: Compliance Associate
Location: Houston, TX
Salary: Negotiable
Key Responsibilities:
- Assist with the completion of regulatory reports and filings including Form BR/BD, SARS
- Work alongside Legal and Onboarding teams, assisting with basic AML functions as well as U4/U5 filings
- Ensure maintenance of firm Code of Ethics
- Keep to date with relevant FINRA/SEC regula
Key Requirements:
- At least one year experience in broker-dealer compliance
- Experience with
- Bachelor's degree
