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Compliance Associate

  • Location: Dallas, TX
  • Job Type: Direct Placement
  • Ref No: 20-00946
  • Date: February 11, 2020
  • Job title:

Alyssa Podbielski

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Job Description - Compliance Associate

A investment company in Dallas is looking for a Compliance Associate. The Compliance Associate 

will play a key role in implementing the compliance program and assisting in all manners relating to the compliance program.

Essential Duties & Responsibilities

  Monitoring compliance with the Code of Ethics, as well as policies, procedures and protocols, including those in respect of personal trading, political contributions, outside business activities and gifts and entertainment

  Communicating with employees at all levels throughout the organization about the above aspect

  Maintaining compliance monitoring (and related) reports, including in respect of supervised personnel, compliance calendar, and others

  Maintaining compliance monitoring and reporting systems, including the personal trading and certifications system, restricted trading list, and others

  Assisting with the maintenance, organization and filing of compliance books & records

  Assisting in the preparation of regulatory filings such as ADV, PF and 13F


  Bachelor's Degree

  3-5 years' experience in Compliance

  Familiarity with ComplySci (or other Compliance systems) preferred

  Proficiency in Microsoft Office and list other relevant systems or software

  Excellent organizational, communication, presentation, and interpersonal skills

  Ability to plan, organize, and prioritize assignments, and to meet critical and established deadlines

  Ability to manage multiple assignments ant transactions simultaneously

  Demonstrated ability to maintain confidentiality and to use discretion in the performance of daily activities

  Professional business image and excellent command of the English language, both verbally and in writing (spelling, grammar, and punctuation)

  Ability to learn quickly and demonstrated


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