Director, Compliance

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 and document compliance policies and procedures.
• Monitor electronic communications for compliance risks.
• Maintain Restricted List and conduct trade surveillance.
• Review marketing materials for proper disclosures.
• Administer Code of Ethics and monitor compliance reporting and pre-clearance requests.
• Update policies, procedures, and training materials.
• Draft compliance communications and assist with training.
• Collaborate with senior management on compliance projects.

Compliance Director Associate Qualifications:

• Bachelor’s degree required.
• 5 years of compliance experience, preferably with an RIA or compliance consulting firm.
• Knowledge of the Investment Advisers Act of 1940 and relevant regulations.
• Strong written and verbal communication skills, attention to detail, and organizational skills.

Location and Compensation:

• Based in Dallas, Texas.
• Competitive salary (based on experience) and annual bonus.
• Employer-paid healthcare, 401(k) matching, and gym membership.