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Compliance Manager

Location: Dallas Region
Category: Finance & Accounting
Employment Type: Direct Hire
Contact: FADDallasAd@addisongroup.com

Addison Group has partnered with a growing investment firm is search of a Compliance Manager.  This position assists with management of the Compliance Program and projects as assigned by the Compliance Officer to enable the company and its affiliates maintain compliance with federal, state and foreign financial industry laws and regulations.  The position involves the review and tracking of marketing materials and other communications, researching and maintaining regulatory registrations in the U.S. and in other jurisdictions and assisting with regulatory filings for U.S. entities and other entities globally.  The ideal candidate will have 6-8 years of experience in the financial services industry, preferably in a compliance role with an investment adviser or broker-dealer, or with a compliance consulting firm and a Bachelors Degree in business (or related).

Responsibilities:  

  • Interpret and apply financial industry laws and regulations including the Investment Advisers Act as well as the Adviser’s compliance policies.
  • Review and track marketing materials and other communications.
  • Research regulatory registration requirements in the U.S. and abroad for various types of business conducted by Hudson or Lone Star or their affiliates.
  • Assist with various global regulatory filings and exemptions.
  • Assist with compliance risk assessment.
  • Assist with coordinating internal inspections and regulatory examinations as required.
  • Provide reporting on compliance programs and risks to the Compliance Officers and the CCO.
  • Other program or project responsibilities as assigned by the Compliance Officer.

Requirements:

  • Bachelor’s Degree in business (or related).
  • 6-8 years of experience in the financial services industry, preferably in a compliance role with an investment adviser or broker-dealer, or with a compliance consulting firm.
  • Proficiency in Word, Excel, Outlook, and PowerPoint (Microsoft Office Suite).
  • Intermediate Excel knowledge, including ability to review data and the formulas and sources behind the data.
  • Experience with the review of marketing materials and other communications.
  • Working knowledge of laws and regulations applicable to the marketing of private funds and investment advisers
  • High capacity for strategic thought and the ability to creatively solve complex business problems.
  • Strong quantitative and qualitative analytical skills.
  • Excellent research skills.
  • Excellent verbal and written communication skills and the ability to interact professionally with a diverse group of managers and subject matter experts.
  • The ability to adapt to a rapidly changing regulatory and business environment.
  • The ability to work independently and operate effectively in a cross-functional environment.
  • Demonstrated ability to prioritize work and manage time in a deadline-driven environment.