Senior Compliance Analyst - Investment Management

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POST DATE 9/16/2016
END DATE 1/26/2017

DM Stone Dallas, TX

Dallas, TX
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #


Our client, a prestigious investment mgmt firm in Dallas, TX, has an immediate opening for a bright, hard-working individual to work in Compliance within the Legal Department. Responsibilities ? Prepare scheduled and ad hoc Retail Board reports. Assist with review of Retail Board meeting minutes ? Participate in Prospectus and SAI updates ? Assist in review of Retail funds compliance oversight ? Oversee Adviser and Fund manual updates ? Monthly, quarterly and annual back-testing of policies and procedures ? Review marketing materials and website content ? Ongoing maintenance of the firm's required books and records, including all applicable regulatory filings (13F, 13H, 13G/D, Form 3/4/5, ADVs) ? Oversee proxy voting process ? Assistance with annual review ? Pre-clear and monitor employee personal trades, gifts and entertainment, and outside business activities and oversee system which performs these checks ? Assist with new hire and firm compliance training ? Keep current on, analyze, and understand regulatory requirements and compliance procedures under the Advisers Act and the Investment Company Act ? Ad hoc projects Qualifications ? BBA/BS degree ? Investment Company Act (40 Act) and Advisers Act experience required ? 3-6 years of relevant work experience ? Advanced experience in MS Office: Word, Excel, Outlook ? Team-oriented with follow-through skills ? Excellent communication (verbal/written) and business management skills ? Experience with Bloomberg preferred Must be


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