Compliance Associate

Compliance Associate - Leading Global Investment Firm (Fort Worth, TX)

About Our Client

Our client is a leading global investment firm with a long history of success. They invest across a broad range of sectors and strategies, and are known for their collaborative and innovative approach. Their team combines deep industry expertise with a commitment to high ethical standards.

The Opportunity

We are searching for a highly motivated and detail-oriented Compliance Associate to join our client's growing team in Fort Worth, TX. In this role, you will play a vital role in ensuring the firm adheres to all legal and regulatory requirements.

Responsibilities

• Collaborate with the Compliance Team to design and implement effective compliance programs.
• Work with various departments including business, finance, operations, legal, and compliance.
• Manage employee compliance with the firm's Code of Ethics.
• Review and process requests related to personal trading, investments, outside activities, and gifts/entertainment.
• Monitor trading activity for adherence to policies and identify unusual patterns.
• Develop, update, and implement compliance policies and procedures.
• Support compliance testing and training initiatives.
• Identify and manage potential conflicts of interest.
• Conduct electronic communications surveillance.
• Review marketing materials and investor communications.
• Assist with regulatory reporting requirements.
• Manage expert network calls and monitor counterparties.
• Stay abreast of regulatory changes that may impact the firm's business.

Requirements

• 2+ years of professional compliance experience within financial services is preferred.
• Strong ability to work effectively in a team environment.
• Excellent written and verbal communication skills.
• Meticulous attention to detail and strong problem-solving skills.
• Ability to work independently and manage multiple tasks.
• Familiarity with the Advisers Act and FINRA rules (a plus).

Benefits

This role offers a competitive salary and benefits package, and the opportunity to work for a highly respected leader in the investment industry.