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Job

Compliance Specialist

  • Location

    Austin, TX

  • Sector:

    Financial Services and Banking

  • Salary:

    $60,000 to $70,000

  • Contact:

    Nicole Izurieta

  • Contact email:

    n.izurieta@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Job ref:

    Compliance Specialist

  • Published:

    about 1 month ago

  • Expiry date:

    2022-05-14

  • Startdate:

    ASAP

We have partnered with an investment management firm looking to bring on aCompliance Specialist to assist with the growing RIA compliance department. This is a hybrid role based in Austin, TX. 

What you’ll be doing:  

  • Working directly with the CCO and COO on the continued development of the RIA compliance program. 

  • Create policies and procedures that adhere to industry regulatory standards.  

  • Review market research to ensure that the firm's practices are compliant with current requirements.  

  • Assist with data analysis for annual ADV filings, exams, and other inquiries  

  • Responsible for reviewing compliance reports, requests, and violations identified.  

  • Service as a compliance resource for the firm and aid in ad hoc responsibilities.  

Minimum Qualifications:  

  • Bachelor’s degree educated  

  • 3+ years of experience in compliance  

  • Project management and investment management experience  

  • FINRA Series 65 is required 

  • FINRA Series 7, 24, 66 or the ability to obtain upon hire 

For more information, please contact Nicole Izurieta at Hamlyn Wiliams at n.izurieta@hamlynwilliams.com 

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