Email Alert for
ⓘ There was an unexpected error processing your request.
Please refresh the page and try again.
If the problem persists, please contact us with your issue.
You can always manage your preferences and update your interests to ensure you receive the most relevant opportunities.
Get ready to discover your next great opportunity.
GXO Logistics
Addison, TX, United States
Logistics at full potential. At GXO, we're constantly looking for talented individuals at all levels who can deliver the caliber of service our company requires. You know that a positive work environment creates happy employees, which boosts productivity and dedication. On our team, you'll have the support to excel at work and the resources to bui
Job Source: GXO LogisticsGXO Logistics, Inc
Dallas, TX, United States
Press Tab to Move to Skip to Content Link At GXO, we’re constantly looking for talented individuals at all levels who can deliver the caliber of service our company requires. You know that a positive work environment creates happy employees, which boosts productivity and dedication. On our team, you’ll have the support to excel at work and the reso
Job Source: GXO Logistics, IncGXO Logistics, Inc.
Addison, TX, United States
Logistics at full potential. At GXO, we're constantly looking for talented individuals at all levels who can deliver the caliber of service our company requires. You know that a positive work environment creates happy employees, which boosts productivity and dedication. On our team, you'll have the support to excel at work and the resources to bui
Job Source: GXO Logistics, Inc.GXO Logistics
Dallas, TX, United States
Logistics at full potential. At GXO, we're constantly looking for talented individuals at all levelswho can deliver the caliber of service our company requires. You know that a positive work environment creates happy employees, which boosts productivity and dedication. On our team, you'll have the support to excel at workand the resources to build
Job Source: GXO LogisticsAcosta Group
Dallas, TX, United States
**DESCRIPTION** The **Compliance Analyst** within our Internal Controls team plays a crucial role in ensuring our organization adheres to regulatory requirements, industry standards, and internal policies. This role is responsible for engaging with business stakeholders to co-develop internal control improvement plans, assess and monitor compliance
Job Source: Acosta GroupAcosta Group
Dallas, TX, United States
**DESCRIPTION** The **Compliance Analyst** within our Internal Controls team plays a crucial role in ensuring our organization adheres to regulatory requirements, industry standards, and internal policies. This role is responsible for engaging with business stakeholders to co-develop internal control improvement plans, assess and monitor compliance
Job Source: Acosta GroupTIB,N.A.
Dallas, TX, United States
At TIB, we are committed to serving as Trusted Partners, for our community banks and our employees. We take great care to maintain our commitment to excellence and personalized service internally and externally. We are dedicated to providing a diverse work environment that fosters inclusivity and growth. We offer a best in class benefits package th
Job Source: TIB,N.A.TIB,N.A.
Farmers Branch, TX, United States
At TIB, we are committed to serving as Trusted Partners, for our community banks and our employees. We take great care to maintain our commitment to excellence and personalized service internally and externally. We are dedicated to providing a diverse work environment that fosters inclusivity and growth. We offer a best in class benefits package th
Job Source: TIB,N.A.Dallas, TX, United States
Company Description
IQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial controls and operational support services; compliance and operational related projects and reviews; and outsourced CFO/controller and administration services to private equity fund investments - portfolio companies, real estate assets and energy assets. Our client base is growing, and our existing clients are engaging the firm across the spectrum of our services offerings.
Job Description
Support and assist IQEQ's investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client's compliance program, which meet the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations. Update the client's compliance programs as necessary to keep them current with new regulatory requirements and best business practices. You will be working directly with leading private equity and hedge fund firms in the alternative asset industry under the guidance and direction from our experienced team of industry veterans. You will be facilitating our service offering by assisting, performing, and reviewing the following:
Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives.
Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
Assist and oversee junior team members in the performance of compliance functions, such as personal trading review, email review, the monitoring of firm trading activities and maintaining restricted lists.
Perform reviews needed to complete an Annual Review of policies and procedures as required under the Advisers Act.
Preparation and filing of required US regulatory filings.
Prepare and conduct training for our clients, according to the client's needs, particularly regarding the Advisers Act.
Draft client policies and procedures.
Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.
Mentor new Associates/Senior Associates.
Perform other compliance-related responsibilities and special projects as needed.
Qualifications Bachelor's degree
4 to 6 years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred.
Strong working knowledge of the IA Act of 1940 and the ICA of 1940
Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred.
Knowledge of CFTC / NFA as well as FINRA requirements is a plus.
Analytical, technical, and technology skills with proficiency in basic Office software, including Excel and Word
Must be able to demonstrate strong organizational and problem-solving skills with attention to detail
Must be able to demonstrate strong oral and written communication skills
Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for IQ-EQ and/or IQ-EQ client
Dependable, flexible, and adaptable to changing client needs and initiatives.
Ability to work well in a fast-paced environment
Must be able to work independently, multi-task and prioritize effectively
Ability to establish and maintain effective working relationships with employees and clients
Additional Information
All your information will be kept confidential according to EEO guidelines.
Salary range: $75,000-$115,000
Email Alert for Manager - Compliance (Hybrid/Remote) jobs in Dallas, TX, United States
ⓘ There was an unexpected error processing your request.
Please refresh the page and try again.
If the problem persists, please contact us with your issue.
You can always manage your preferences and update your interests to ensure you receive the most relevant opportunities.
Get ready to discover your next great opportunity.