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Deputy Chief Compliance Officer

  • Location

    Dallas Texas

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $160,000 - $180,000

  • Contact:

    Katherine Barnes

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    about 1 month ago

  • Expiry date:


  • Startdate:


A faith-based, wealth management partner of ours in Dallas, TX is looking for an experienced Deputy Chief Compliance Officer to join their growing organization. This position will report to the Chief Compliance Officer and will contribute to the overall execution and improvement of our global compliance program and function at the firm.

As a Deputy Chief Compliance Officer, You Will

  • Implement, under the supervision of the CCO, the compliance programs of the Adviser and the Funds, including written policies and procedures designed to prevent violations of the federal securities laws
  • Supervise and direct Compliance Analysts in their compliance and ODD responsibilities
  • Report into the Compliance and Risk Committee and the Board of Trustees of the Funds regarding special projects
  • Perform compliance risk assessments to inform compliance program priorities
  • Design, test, audit and review written policies and procedures
  • Oversee portfolio compliance monitoring for adherence to legal and regulatory requirements
  • Conduct on-site and virtual due diligence meetings and reviews with sub-advisers and service providers to assess and mitigate compliance, reputational and operational risk
  • Train employees on key policies and procedures
  • Be responsible for the review of marketing materials for compliance with applicable laws and regulations
  • Stay abreast of legal and regulatory developments and best compliance practices of registered investment advisers and mutual funds

As a Deputy Chief Compliance Officer, You Will Need

  • Bachelor’s Degree
  • Minimum 8 years’ compliance experience with registered investment advisers and funds
  • Thorough understanding of both the mutual fund industry and the laws and regulations applicable to mutual funds and their investment advisers, especially the Investment Company Act of 1940 and the Investment Advisers Act
  • Familiarity with due diligence questionnaires, Form ADV, Rule 38a-1 and Rule 206(4)-7 Annual Reviews, SOC 1 reports, and investment adviser compliance manuals and codes of ethics