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Compliance Associate

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Robert Walters are currently partnered with an alternative asset manager to recruit for a compliance associate to join their rapidly growing Fort-Worth team. This would be the perfect opportunity for someone with experience in hedge funds, PE, assets or regulatory compliance looking to take the next step in their career.

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.

Qualifications

  • 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).

If interested in this position, please contact Kate Treacher at +1 512 610 6264 or Kate.Treacher@robertwalters.com

Contract Type: FULL_TIME

Specialism: Finance & Accounting

Focus: Finance

Industry: Financial Services

Salary: $100,000 - $120,000 per year

Workplace Type: On-site

Experience Level: Associate

Location: Fort Worth

Job Reference: NTQ2CR-B8A0C816

Date posted: October 16, 2024

Consultant: Kate Treacher

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