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Compliance Manager

  • Location

    Austin Texas

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $110,000 -$150,000

  • Contact:

    Katherine Barnes

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:


  • Published:

    27 days ago

  • Expiry date:


  • Startdate:


A prestigious growing investment banking client of ours is looking to add a Compliance Manager to their team in Austin, Texas.  The Compliance Manager will assist the CCO with the effective implementation and administration of company’s compliance program.  This position works closely with the companies Investment Banking, Portfolio Management, and Investment Operations areas.

Responsibilities Include:

  • Support compliance program, including identification of key risks, assisting with developing/updating policies, as required and extending program to subsidiaries and other related entities.
  • Assist Chief Compliance Officer and other in-house counsel with ad hoc research and projects as necessary
  • Conduct compliance risk assessments, testing and monitoring in accordance with client agreements, regulatory requirements and best practices.
  • Coordinate the development and administration of compliance training initiatives for the firm.
  • Foster strong partnerships with other support functions whose teams execute required compliance program components.
  • Support response to due diligence questionnaires and investigations related to various third party business relationships.

Requirements Include:

  • MBA degree or professional certification preferred
  • 5+ years’ relevant auditing or compliance experience in real estate, private equity, or private hedge fund preferred. 
  • SEC-registered investment adviser a plus
  • Understanding of Enterprise Compliance Risk Management and best practices
  • Ability to evaluate federal laws and regulations and evaluate financial, transactional or other data to determine trends.
  • Technical and professional skills or knowledge of testing methodology, risk and controls analysis.
  • Experience with the review and approval of marketing/advertising materials a plus
  • Ability to lead and execute multiple projects (short and long term).