A prestigious opportunity has emerged for a Compliance Associate to become part of a globally recognized alternative asset firm. This firm is distinguished for its commitment to growth, transformation, and innovation, managing over $224 billion with teams stationed worldwide. The role is located in Fort Worth and provides the opportunity to engage with a diverse range of strategies including private equity, impact, credit, real estate and market solutions.
Key Responsibilities:
As an Compliance Associate, you will be instrumental in upholding the firm's high compliance standards. Your daily responsibilities will encompass designing and implementing compliance policies, procedures, and systems to ensure all legal and regulatory obligations are met. You will regularly interact with various teams across the firm including business, finance, operations, legal, and compliance. Your role will also involve administering the employee Code of Ethics using regulatory compliance software, monitoring trading activity for policy compliance as well as unusual activity. Furthermore, you will support the execution of policy testing procedures while developing and conducting employee training.
- Design and implement compliance policies, procedures, and systems
- Ensure fulfillment of legal and regulatory obligations
- Regular interaction with business, finance, operations, legal, and compliance personnel across the firm
- Administer employee Code of Ethics utilizing regulatory compliance software
- Monitor trading activity for compliance with policies and monitor for unusual activity
- Support and execute testing of policies and procedures
- Develop and conduct employee training and administer electronic training tool
- Conduct electronic communications surveillance
Key Requirements:
The ideal candidate for this Compliance Associate role brings along 2+ years of professional compliance experience within financial services. You possess excellent written and verbal communication skills which enable you to interact effectively with various teams across the firm. Your attention to detail coupled with your problem-solving abilities allow you to handle tasks independently while ensuring all legal and regulatory obligations are met. Familiarity with the Advisers Act and FINRA rules would be advantageous.
- 2+ years of professional compliance experience within financial services
- Ability to work effectively in a team environment
- Excellent written and verbal communications skills
- Attention to detail and problem-solving skills
- Ability to handle tasks independently
- Familiarity with the Advisers Act and FINRA rules preferred
What sets this company apart:
This company is a leading global alternative asset firm known for investing in growth, change, and innovation. With more than $224 billion under management and teams around the world, they invest across a broadly diversified set of strategies including private equity, impact, credit, real estate and market solutions. Their unique strategy is driven by collaboration, innovation, and inclusion. They combine deep product and sector experience with broad capabilities and expertise to develop differentiated insights and add value for their fund investors, portfolio companies, management teams, and communities.
What's next:
Ready to elevate your career? Apply now!
If interested in this position, please contact Kate Treacher at +1 512 610 6264 or Kate.Treacher@robertwalters.com
