San Francisco, CA
about 1 month ago
We are wiring with a large and expanding Consultancy, who are hiring for senior level individuals to focus on the Asset Management clients. This opportunity is a Regulatory Compliance Officer and will be located primarily in Dallas,Texas. Travel will be required and here is the overview of the role:
- Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
- Reviewing marketing and advertising materials for compliance.
- Review of clients’ AML compliance documents
- Monitor clients’ firm trading activities (email review, compliance firm functions) and maintain restricted lists.
- Conduct training of our clients' employees and management regarding the Advisers Act; conflicts of interests, insider trading, cross trades)
- Design and monitor surveillance programs, testing systems, and technology infrastructure
- Bachelor’s degree
- 4+ years of relevant compliance experience at a registered investment adviser, law firm, or consulting firm
- Strong working knowledge of both FINRA, CFTC, NFA and SEC Exam practices is also needed
- A JD is Preferred
If this opportunity interests you, please get in touch with an updated resume!