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Compliance Analyst

Privately Held National Company Fort Worth, TX
  • Expired: over a month ago. Applications are no longer accepted.

This position requires strong concern for quality and accuracy of work with a results-oriented focus. The work involves critical and technical thinking and problem solving based on detailed knowledge of all pertinent facts and thorough analysis of relevant details. There is an intense focus on complex, independent problem solving, self-direction and freedom of ideas. The individual in this position must maintain a professional demeanor and make sound, well thought-out decisions. This position requires little delegation of details or responsibilities, it is important that close, quick and critical follow up occur to recognize and correct mistakes. The work schedule of this position will be dictated by client needs, work flow and current deadlines. This hire will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for our clients in the alternative and traditional investment sectors, including private equity, hedge and venture capital fund managers, in addition to providing Regulatory Exam support and outsourced Chief Compliance Officer (CCO) functions.

Responsibilities:

  • Work within the team to:
  • Advise clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
  • Advise clients on and review firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements
  • Assist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted lists
  • Preparation and filing of required regulatory filings for US and international clients
  • Review of client and account documentation for anti-money laundering compliance
  • Review, assess, devise, and conduct training of our clients' employees and management, according to client needs, particularly regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and valuation
  • Design and monitor testing systems to ensure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure
  • Perform other compliance-related responsibilities and special projects as needed

Qualifications:

Successful candidates will have many, if not all, of the attributes below:

  • Bachelor’s Degree Required
  • Self-starter who is mature, professional, and works well independently while in a team environment
  • Interest in starting at the ground floor to learn regulatory requirements of investment advisers, private fund managers, commodity pool operators, commodity trading advisors, and SEC, FINRA, CFTC and NFA exam practices

Job Type: Full-time

Education:

  • Bachelor's (Required)

Privately Held National Company

Address

Fort Worth, TX
USA