Opportunities

Position Overview

We are seeking a detail-oriented Compliance Officer to join our team and ensure adherence to all applicable securities laws, regulations, and internal policies. This role will be responsible for developing, implementing, and monitoring our compliance program to protect the firm and our clients while supporting our business objectives.

Key Responsibilities

Regulatory Compliance

  • Monitor and ensure compliance with SEC, FINRA, state securities regulations, and other applicable federal and state laws
  • Maintain current knowledge of regulatory changes and assess impact on firm policies and procedures
  • Prepare and file required regulatory reports including Form ADV, Form PF, and state registrations
  • Coordinate regulatory examinations and audits; serve as primary liaison with regulators
  • Manage firm’s compliance calendar and ensure timely completion of all filing requirements

Policies & Procedures

  • Develop, update, and implement written compliance policies and procedures manuals
  • Conduct regular reviews of investment advisory agreements, marketing materials, and client communications for regulatory compliance
  • Monitor trading activities for potential conflicts of interest, insider trading, and market manipulation
  • Oversee personal trading compliance and employee securities transactions
  • Administer code of ethics program including quarterly reporting and annual certifications

Risk Management & Training

  • Conduct compliance risk assessments and develop mitigation strategies
  • Design and deliver ongoing compliance training programs for employees at all levels
  • Investigate compliance incidents and recommend corrective actions
  • Maintain compliance testing programs including surveillance of emails and communications
  • Monitor cybersecurity protocols and data privacy compliance requirements

Operational Support

  • Review and approve new client onboarding documentation for AML/KYC compliance
  • Maintain organized records and documentation to support compliance activities
  • Collaborate with operations, portfolio management, and legal teams on compliance matters
  • Prepare compliance reports and metrics for senior management and board of directors

Qualifications

Required

  • Bachelor’s degree in Finance, Business, Legal Studies, or related field
  • 3-5 years of compliance experience in investment management, registered investment advisory, or broker-dealer environment
  • Strong knowledge of SEC and state securities regulations, including Investment Advisers Act of 1940
  • Experience with ADV filings and regulatory reporting requirements
  • Understanding of AML/BSA regulations and compliance programs
  • Excellent analytical, organizational, and communication skills
  • High ethical standards and ability to handle confidential information
  • Proficiency in Microsoft Office Suite

Preferred

  • Series 7, 66, or 65 license (or ability to obtain within 6 months)
  • Professional certifications such as Certified Regulatory Compliance Manager (CRCM) or similar
  • Experience with compliance management systems and surveillance technology
  • Knowledge of ERISA regulations for firms managing retirement plan assets
  • Background in conducting internal audits or regulatory examinations

Work Environment

  • Full-time position located in Texas
  • Hybrid work arrangement may be available after initial training period
  • Professional office environment in the financial services sector
  • Some travel may be required for training or regulatory meetings

Compensation

Competitive salary commensurate with experience, plus comprehensive benefits package including health insurance, 401(k) matching, and professional development opportunities.

To Apply

Please submit your resume and cover letter highlighting your compliance experience and relevant regulatory knowledge.