Senior Compliance Analyst (Dallas)

We are representing a $35 Billion AUM investment business that is hiring a Senior Compliance Analyst, based in Dallas TX. Why Join Us: $35 Billion AUM investment firm established for 30 years with ongoing rapid growth and career opportunities Firm supports employee work-life balance and flexibility, with a supportive “people-first” environment and a collaborative approach Transparent and ethical client relationship management, leading to 97% client retention Responsibilities: Reporting directly to the Chief Compliance Officer, you will support the compliance program for both the RIA and Broker-Dealer Assist in the ongoing implementation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct Engage in proactive surveillance activities to detect and resolve potential compliance issues Assist with the implementation and maintenance of the firm’s anti-money laundering program Receive and review requests for marketing and advertising review and approval Assist with inquiries from internal business partners regarding Compliance related issues Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of issues Assist in communicating the compliance program for the organization, including promoting awareness of policies and procedures, and further understanding of new and existing compliance issues Assist in the filing and monitoring of registration (including continuing education and ethics requirements) and memberships of the Company and all relevant associates remain current Prepare and submit regulatory filings including SEC Forms 13F, 13H and Form N-PX Requirements: Essential Education: Bachelor’s degree Active FINRA licensing is beneficial to the role Demonstrable hands-on compliance experience at an investment firm, including exposure to SEC and FINRA regulation (RIA & BD) Experience reviewing and approving complex marketing materials