We are currently partnered with a SEC-registered investment adviser specializing in event-driven, long/short equity strategies based in Dallas, Texas looking to add a Compliance Director to their team.
Compliance Director Role Responsibilities:
- Manage compliance calendar and regulatory reports (e.g., Section 13 filings, Form ADV, Form PF).
- Test and document compliance policies and procedures.
- Monitor electronic communications for compliance risks.
- Maintain Restricted List and conduct trade surveillance.
- Review marketing materials for proper disclosures.
- Administer Code of Ethics and monitor compliance reporting and pre-clearance requests.
- Update policies, procedures, and training materials.
- Draft compliance communications and assist with training.
- Collaborate with senior management on compliance projects.
Compliance Director Associate Qualifications:
- Bachelor's degree required.
- 5 + years of compliance experience, preferably with an RIA or compliance consulting firm.
- Knowledge of the Investment Advisers Act of 1940 and relevant regulations.
- Strong written and verbal communication skills, attention to detail, and organizational skills.
Location and Compensation:
- Based in Dallas, Texas.
- Competitive salary (based on experience) and annual bonus.
- Employer-paid healthcare, 401(k) matching, and gym membership.
