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:

Responsibilities:

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

Qualifications:

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!

Job