Blueprint Investment Partners · 9 hours ago
Compliance Officer
Dallas, TX
Full-time
Onsite
Senior Level
5+ years expBlueprint Investment Partners is an asset manager and pioneer in systematic investment strategies. They are seeking a Compliance Officer to oversee and implement compliance procedures, ensuring adherence to regulatory requirements and supporting the firm's governance and risk management functions.
FinanceFinancial ServicesRisk Management
Responsibilities
Assist in the design, implementation, and continuous improvement of the firm’s compliance program, in accordance with the Investment Advisers Act of 1940 and other applicable regulations
Draft, update, and assist in enforcing firm policies and procedures, including those related to the Code of Ethics
Prepare, review, file, and maintain regulatory filings, including by not limited to Form ADV, Form CRS, and Form 13F, for multiple investment advisers
Develop, coordinate, and deliver employee compliance training programs (annual and ad hoc) focused on regulatory requirements and ethical standards
Assist with the annual compliance review and risk assessment to evaluate the adequacy and effectiveness of policies and procedures designed to prevent violations of federal securities laws
Review and approve marketing and advertising materials for compliance with the SEC Marketing Rule and other applicable regulations
Monitor data privacy and cybersecurity practices to ensure compliance with Regulation S-P and other applicable federal and state laws
Develop and manage compliance testing programs and assist with related internal audits to ensure effective integration of the Compliance Rule into the firm’s compliance framework
Support the Director of Compliance in serving as a regulatory liaison with the SEC, FINRA, state and local authorities, including coordinating regulatory audits and examinations and assisting with the response to any external reviews of the firm’s compliance program by regulators or third parties
Assist with Anti-Money Laundering (AML) oversight and related compliance responsibilities
Perform additional compliance-related duties as assigned by the Director of Compliance
Qualification
Required
Active Series 65 or Series 66 license required; Series 24 preferred
Minimum of five (5) years of experience in the financial services industry in a compliance capacity
Strong working knowledge of the Investment Advisers Act of 1940 and related regulatory requirements
Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint)
Excellent analytical, problem-solving, and communication skills (verbal and written)
Demonstrated ability to work both independently and collaboratively in a team environment
Strong organizational and time-management skills, with the ability to manage priorities and meet deadlines
Company
Blueprint Investment Partners
Blueprint Investment Partners specializes in investment strategies for financial advisors and institutions.
2-10 employees
Funding
Current Stage
Early StageLeadership Team
Jon Robinson
Co-Founder & CEO
Brandon Langley
President & Co-Founder
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