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GardaWorld
Dallas, TX, United States
Job Description Job Title: Compliance Director Department: Management FLSA Status: Exempt Reports To: Account Manager and Area Director Job Summary: Salary: $90000-$100000 / year As the Compliance Director at BEST, you will be responsible for ensuring that all security personnel are properly licensed and compliant with local, state, and federa
Job Source: GardaWorldMISA Imports
Dallas, TX, United States
Job Description Job Description Who We Are: When you join MISA Imports, you join a team that is taking the wine and spirits industry to new heights. Sharing an entrepreneurial mindset as leaders, visionaries and subject matter experts in wine and supply chain. With a culture inspired by family values we work collaboratively to ensure our team me
Job Source: MISA ImportsThe Ladders
Dallas, TX, United States
Who We Are: When you join MISA Imports, you join a team that is taking the wine and spirits industry to new heights. Sharing an entrepreneurial mindset as leaders, visionaries and subject matter experts in wine and supply chain. With a culture inspired by family values we work collaboratively to ensure our team members remain agile and challenged,
Job Source: The LaddersDagen Personnel LLC
Dallas, TX, United States
Job Title: Director of Compliance Firm Summary: A SEC-registered investment adviser that employs an event-driven long/short equity investment strategy focused on the biotechnology sector. The firm launched in 2016 and invests in both the public and private markets on behalf of hedge funds and separate account clients. Position Responsibilities:
Job Source: Dagen Personnel LLCGarda World Security
Dallas, TX, United States
Job Description Job Title: Compliance Director Department: Management FLSA Status: Exempt Reports To: Account Manager and Area Director Job Summary: Salary: $90000-$100000 / year As the Compliance Director at BEST, you will be responsible for ensuring that all security personnel are properly licensed and compliant with local, state, and f
Job Source: Garda World SecurityLarson Maddox
Dallas, TX, United States
Director of Compliance Larson Maddox Dallas, United States Posted 2 days ago Hybrid Job Permanent USD100000 - USD160000 per annum We are currently partnered with a SEC-registered investment adviser specializing in event-driven, long/short equity strategies based in Dallas, Texas looking to add a Compliance Director to their team. We are curren
Job Source: Larson MaddoxLarson Maddox
Dallas, TX, United States
We are currently partnered with a SEC-registered investment adviser specializing in event-driven, long/short equity strategies based in Dallas, Texas looking to add a Compliance Director to their team. Compliance Director Role Responsibilities: Manage compliance calendar and regulatory reports (e.g., Section 13 filings, Form ADV, Form PF). Test an
Job Source: Larson MaddoxVaco
Dallas, TX, United States
Director of Controls & Compliance Dallas, TX - Onsite/Hybrid One of Vaco's distribution clients is looking to onboard an Audit Director to assist with a company-wide initiative to streamline operational controls across all of their distribution centers. They are looking for folks with proven experience building SOP's, juggling multiple special pro
Job Source: VacoDallas, TX, United States
A growing registered investment adviser located in Dallas, Texas is looking for a Director of Compliance to join their team. The Director of Compliance will work alongside the firms Chief Compliance Program to update, implement, and maintain the firms compliance program. The firm invests in both private and public markets on behalf of hedge funds and separate account clients. This role will require 4 days a week in office.
Responsibilities :
Manage the compliance calendar and assist in preparation of regulatory filings (ADV, PF)
Conduct e-comm surveillance for MNPI, Code of Ethics obligations and other issues
Administer firms Code of Ethics
Maintain the Restricted List and conduct trade surveillance
Update policies, procedures, and training materials
Review marketing materials
Qualifications :
4+ years of relevant compliance experience, ideally with an RIA or hedge fund
Knowledge of the Investment Advisers Act of 1930
Experience with private funds
Knowledge of Smarsh, My Compliance Office a plus!
The firm is open to a range of seniorities/backgrounds. They are ideally looking for someone that requires little to no training and can take the lead on the firms compliance program. If this sounds like you, apply today!
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Email Alert for Director of Compliance jobs in Dallas, TX, United States
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