Deputy Compliance Officer - Registered Investment Advisor
Job in
Dallas, Dallas County, Texas, 75215, USA
Listed on 2026-01-27
Listing for:
Conselium Compliance Search
Full Time
position Listed on 2026-01-27
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
- Opportunity to join an established and rapidly growing investment management business with a national footprint
- Play a critical role in the growth and development of the compliance program and the business as a whole
- Vibrant, modern offices and a positive and collaborative working culture
- 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
- You must have 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
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