Dagen · 2 weeks ago
Compliance Officer - Marketing
Fort Worth, TX
Full-time
Hybrid
Senior Level
5+ years expDagen is an SEC-registered investment advisor firm providing discretionary investment management services. They are seeking a motivated Compliance Officer to focus on reviewing marketing materials, conducting compliance testing, and ensuring adherence to regulatory requirements.
EmploymentRecruitingStaffing Agency
Hiring Manager
Camille McBride
Responsibilities
Serve as the compliance reviewer for marketing, advertising, and investor communication materials, ensuring compliance with SEC Marketing Rule 206(4)-1 and other applicable regulations
Partner with investor relations, analytics, and other internal teams to review and approve presentations, fact sheets, website content, and other client-facing materials
Provide practical guidance and training to business teams on regulatory considerations in marketing and advertising
Conduct periodic and ad hoc compliance testing of expenses, investment allocations, trading, etc, to ensure adherence to client mandates and firm policies
Assist in preparing and submitting required regulatory filings, coordinating with internal stakeholders to ensure accuracy and timeliness
Perform targeted research on regulatory developments and assist in compliance investigations as needed
Support enhancements to policies, procedures, and controls based on emerging regulatory trends and firm priorities
Assist with records management, including retention, organization, and oversight of compliance-related documentation
Collaborate with Compliance and other functional teams on ad hoc projects
Contribute to fostering a strong culture of compliance across the firm
Qualification
Required
Minimum of 5 years of relevant compliance experience, preferably at an asset management firm with a focus on private funds
Solid knowledge of SEC rules and regulations applicable to investment advisers, especially the Marketing Rule
Demonstrated experience reviewing and advising on marketing, advertising, and client communication materials
Strong analytical skills with the ability to evaluate performance information, track record presentations, and other complex data used in marketing and client
Benefits
Employer-paid Medical, Dental, Vision Insurance for employee and dependents.
Employer-paid Life, AD&D, and Disability Insurance.
Hybrid/Remote Work Benefits.
401K Plan with Employer Profit Sharing Contribution.
Company
Dagen
Located deep in the heart of the energy industry Dagen offers our partners an unmatched depth of industry-specific hiring expertise in not only oil and gas environments but many industries that make Houston the most desired place to build a career.
2-10 employees
Funding
Current Stage
Early StageLeadership Team
Tiffany Wallace
Founder and CEO
Company data provided by crunchbase