Compliance Officer
Location: Dallas/SMU Area / On-Site
Compensation: $135,000 – $145,000 Base + Discretionary Bonus/Solid Benefits
Employment Type: Full-Time
About the Opportunity
The HT Group has partnered with an established SEC-registered investment adviser in the search for an experienced Compliance Officer to support the day-to-day administration and oversight of its regulatory compliance program.
Reporting directly to the Chief Compliance Officer, this individual will perform ongoing compliance reviews and surveillance, support regulatory initiatives, and provide compliance guidance across investment services and business operations. The role will have particular exposure to wealth management, portfolio and asset management, alternative investments, and pooled investment products. This is a hands-on opportunity for an experienced compliance professional who can independently identify regulatory issues, exercise sound judgment, and partner effectively with business leaders in a sophisticated investment environment.
Key Responsibilities
- Develop and conduct regulatory compliance testing and surveillance to ensure adherence to investment adviser requirements.
- Monitor and analyze applicable laws, regulations, regulatory developments, and industry best practices.
- Support daily compliance activities related to the registered investment adviser business, including portfolio management, asset management, asset valuation, and client reporting.
- Review and approve client management agreements and alternative investment activity.
- Review offering documents associated with pooled investment vehicles and separately managed accounts (SMAs).
- Support investor contract management and oversight of client service obligations.
- Administer and monitor the firm’s Code of Ethics.
- Conduct compliance oversight and due diligence of third-party sub-advisers and vendors.
- Review electronic communications and social media activity for regulatory compliance.
- Maintain and update supervisory procedures, compliance policies, and related documentation.
- Respond to regulatory and compliance inquiries from marketing, operations, and other business functions.
- Assist with the annual review of compliance policies and procedures pursuant to Rule 206(4)-7.
- Support SEC examinations and other regulatory inquiries.
- Provide ongoing support to the Chief Compliance Officer and assist with special compliance projects as needed.
Qualifications
- Prior experience in a senior compliance role within a registered investment adviser (RIA).
- Experience supporting wealth management, private equity, pooled investment products, or a comparable SEC regulatory environment.
- Strong knowledge of the Investment Advisers Act of 1940 and other applicable U.S. federal securities laws.
- Experience with regulatory compliance testing, surveillance, policies, and procedures.
- Strong analytical skills with the ability to identify issues and exercise sound judgment.
- Excellent written, verbal, and interpersonal communication skills.
- Strong attention to detail and a high level of accountability.
- Ability to prioritize competing responsibilities and consistently meet deadlines.
- Strong organizational and documentation skills, including the ability to track compliance issues and recommendations.
- Collaborative approach with the ability to work effectively across business functions.
Ideal Candidate
The ideal candidate is a hands-on compliance professional with meaningful experience operating within an SEC-registered investment adviser and a strong understanding of the regulatory requirements associated with wealth and asset management. This individual should be comfortable working across investment products and business functions while balancing day-to-day compliance responsibilities with broader regulatory projects.
The successful candidate will bring strong regulatory judgment, attention to detail, and the ability to serve as a trusted compliance resource to both the Chief Compliance Officer and business stakeholders.