Compliance Associate
Job in
Dallas, Dallas County, Texas, 75215, USA
Listed on 2025-12-30
Listing for:
Larson Maddox
Full Time
position Listed on 2025-12-30
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Corporate Finance -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
Base Pay Range
$/yr - $/yr
A premier alternative investment management firm located in DFW is looking to bring on a Compliance Associate to their growing team. With 170+ employees across the globe and $19B+ in AUM, this firm has diverse capital offerings including capital solutions, direct lending, derivatives and fund liquidity. The Compliance Associate will support the firm's Chief Compliance Officer on maintaining a robust program.
This role will require 4 days in office.
- Regulatory filings such as Form ADV & PF
- Review of marketing materials
- Code of Ethics administration, personal trade monitoring, maintaining restricted lists etc
- Update/maintain policies and procedures
- Conduct compliance trainings/onboarding
- 2+ years of compliance experience
- Knowledge of Investment Advisers Act of 1940
Associate
Employment TypeFull-time
Job FunctionFinance, General Business, and Legal
IndustriesInvestment Management, Financial Services, and Legal Services
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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