Senior Associate Compliance - Private Equity - Texas

Job Title: Senior Associate Compliance - Private Equity - Texas
Contract Type: Permanent
Location: Fort Worth, Texas
Salary: US$100000.00 - US$150000.00 per year + bonus
Reference: BBBH19506_1538743010
Contact Name: Ben Ellison
Contact Email:
Job Published: October 05, 2018 13:36

Job Description

New role at global private equity in Fort Worth/Dallas area.

The role sits within the firm's Compliance team and is based in Fort Worth. The successful candidate will be responsible for managing compliance responsibilities related to the firm's marketing and fundraising efforts but will also have opportunities for additional duties
including designing and implementing compliance policies, procedures, and systems to ensure that the firm and its respective platforms fulfill their legal and regulatory obligations and meet the firm's high compliance standards. The role requires regular interaction with business, legal, and compliance personnel across the firm.

The candidate will have 2‐8 years of professional experience and meet the additional following requirements.

  • Experience with SEC registered investment advisor and FINRA broker‐dealer rules applicable to marketing and client communications
  • FINRA Series 7, 24 and 63 licenses preferred but not required
  • Ability to work well in a team environment
  • Strong interpersonal and communications skills (written and verbal)
  • Highly organized, detail oriented, self‐motivated, capable of monitoring and completing a variety of projects independently and simultaneously
  • Must have initiative and be willing to grow in areas of responsibility and demonstrate eagerness to learn
  • Demonstration of past academic and professional excellence

Key Responsibilities

  • Review and provide advice and guidance on marketing materials and investor communications consistent with SEC and FINRA requirements
  • Work closely with the marketing and fundraising professionals on new fund launches (including international marketing rules) and assist with the review of fund marketing and offering materials
  • Prepare responses to investor due diligence questionnaires and other investor inquiries
  • Developing, updating, and implementing compliance policies and procedures
  • Identification, escalation, and management of potential conflicts of interests across business platforms
  • Conducting employee training
  • Preparation of regulatory filings
  • Anti‐money laundering reviews
  • Assisting with compliance risk assessments and conducting testing of policies and procedures

More information -