Barrow Hanley Global Investors · 1 week ago
Senior Compliance Associate (Asset Management)
Dallas, TX
Full-time
Onsite
Senior Level
5+ years expBarrow Hanley Global Investors is a diversified investment management firm founded in 1979, dedicated exclusively to value investing. The Senior Compliance Associate will support the Chief Compliance Officer in overseeing the compliance program, providing guidance to employees, and ensuring regulatory compliance across various functions of the firm.
Asset ManagementFinancial Services
No H1B
Responsibilities
Manage compliance with and meet deadlines to fulfill assigned SEC, state, federal, foreign country, and/or other applicable regulatory filings and requirements
Support investment selection and implementation / trading by managing Charles River (CRIMS) rules library and monitoring daily trading and nightly batch reviews of clients’ guidelines and restrictions
Responsible for client relations/support with compliance staff of assigned clients, manage and complete 15(c) and DDQ reports with supporting documentation and other compliance certifications/reports, schedule and meet deadlines for client reporting, and manage ad hoc requests from clients and co-workers
Conduct compliance reviews of advertising material produced by Client Development/Marketing teams
Support and maintain Barrow Hanley’s Compliance Policies & Procedures Manual, Code of Ethics and Conduct, and Affiliate Level Risk Policies
Support annual compliance program review, including conducting forensic tests of the firm’s internal control on a scheduled, ad hoc, and issue-based basis to support the firm’s overall risk management program
Manage the firm’s SOC 1 Type 2 Internal Controls Audit
Support the firm’s three lines of accountability risk management strategy in coordination with the parent company
Support the CCO by performing internal compliance reviews and monitoring activities, including periodic reviews of business units’ policies, procedures, and processes
Support the CCO with confidential investigations and acting on matters related to compliance
Monitor and review reporting systems and employees’ actions required by the firm’s internal control policies and securities regulations
Conduct compliance tests and/or reviews as directed by the CCO, identify discrepancies, and support the business from a technical perspective in developing appropriate remedial actions
Work closely with co-workers to provide training on the firm’s policies and use of the firm’s systems for monitoring and reporting activities
Engage with and be a resource to co-workers at all levels on the firm’s internal control policies and their application and effective implementation to the business
Support the development and implementation of new technology adopted by Barrow Hanley to ensure compliance is built into the use of these systems
Elevate compliance matters to the CCO
Maintain knowledge of current applicable regulatory requirements
Provide sound technical support on the complex interpretation and understanding of new regulations and policy (including supporting documents and systems) requirements
Qualification
Required
Bachelor's Degree plus 5+ years of compliance management experience with an SEC-registered Investment Advisor or Investment Company
Extensive knowledge of the financial services industry including, asset management, registered investment company/mutual funds, Private Funds, Trusts, ERISA, UCITS, and associated risks
Demonstrate knowledge of global markets and applicable securities regulations including, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities and Exchange Act of 1934, and non-U.S. securities regulations, and the ability to analyze and identify the application of existing and proposed regulations and compliance issues in both U.S. and foreign markets as they relate to investment management and marketing
Demonstrate ability to read, understand, and interpret regulatory language, possess strong analytical skills, independent and critical thinking, and sound judgment
Ability to understand complex technical systems and the business processes they support, synthesize the corresponding data, associated risks and controls, and recommend adjustments
Proficiency with CRIMS, Salesforce, EdgarNext, FactSet, Bloomberg, or ability to learn and adapt to business applications
Demonstrate leadership and diplomatic skills through ownership of issues seen through resolution, providing sound guidance to others, and positively influencing organizational culture
Ability to demonstrate a professional, pleasant demeanor with co-workers, remain calm in moments of pressure, safeguard confidential information, prioritize tasks, juggle multiple tasks at once, meet deadlines, tailor communications to effectively fit and influence the targeted audience, and politely explain regulatory or policy requirements
Ability to work independently, self-starter, attention to details, intellectual curiosity to learn new things, solve problems, and provide support to the business
Strong work ethic, high attention to detail and accuracy
Preferred
IACCP designation preferred, but not required
Company
Barrow Hanley Global Investors
Founded in 1979, Barrow Hanley is a diversified investment management firm offering value-focused investment strategies spanning global equities and fixed income.
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
unknown2020-07-26Acquired
Leadership Team
Mark Giambrone
Managing Director and Porfolio Manager
Recent News
Canada NewsWire
2026-01-15
Yahoo Finance
2025-01-11
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