Conselium Compliance Search · 1 day ago
Deputy Compliance Officer - Registered Investment Advisor
Dallas, TX
Full-time
Onsite
Mid LevelConselium Compliance Search is an established investment management business seeking a Deputy Compliance Officer to enhance their compliance program. The role involves assisting in the development and maintenance of compliance programs, ensuring adherence to SEC regulations, and supporting the advisory operations of the business.
RecruitingStaffing Agency
Hiring Manager
Steve Harrison
Responsibilities
Assist the Head of RIA Compliance in the development, implementation, and maintenance of the asset management and securities compliance programs
This position seeks to ensure compliance with SEC regulations while supporting the Securities and Asset Management arms of the business in meeting their regulatory responsibilities; position focused on advisory operations subject to the requirements set forth by the Investment Adviser Act of 1940 and the Investment Company Act of 1940
Assist in performing annual 206(4)-7 review; support periodic mock regulatory exams; aid in responding to regulatory inquiries and examinations from the SEC and other regulatory bodies
Develop, implement, and maintain current compliance policies, procedures, and processes to ensure compliance with applicable rules and regulations
Assist with the preparation, submission, and maintenance of regulatory filings including Form ADV, Form CRS, 13D, 13F, 13H filings and other regulatory filings as required for multiple investment advisers
Become a proficient user of the firm’s compliance management systems and technologies
Effectively communicate regulatory requirements and policies and procedures both internally and to Member Firms
Work with other compliance team members to support adherence with the Code of Ethics
Proactively identify inefficiencies across all aspects of the firm’s compliance program and develop solutions for improvement, with the intent of increasing efficiencies and the effectiveness of the advisory compliance program
Address compliance issues that arise from the daily operations of the advisory business
Assist with special assignments and perform other compliance department related duties
Qualification
Required
Bachelor's degree
Registered Investment Advisor Compliance experience, demonstrated clearly on your resume
Strong knowledge of rules, laws and regulations relevant to securities compliance and communications, including FINRA, SEC and state laws, rules, and regulations for broker-dealers and extensive knowledge in investment advisory space
Company
Conselium Compliance Search
CONSELIUM COMPLIANCE SEARCH Conselium is the only international search firm that focuses on placing Compliance Professionals.
Founded in 2002
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Maurice Gilbert
Compliance Recruiter - Managing Partner Conselium
Steve Harrison
Partner
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