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Compliance Manager (RIA)

Robert Half Finance & Accounting Dallas Full-Time
DOE
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Ref ID: 04120-0010956949

Classification: Financial Analyst

Compensation: DOE

Robert Half Finance and Accounting has teamed up with a world class private equity firm (over $4 billion in AUM) to assist in the recruitment of a Compliance Analyst Manager. This role will be responsible for complex compliance analysis related to legal and investment issues that affect the firm; the role will also work with the CFO to handle some budgeting and financial analysis. To be considered for this role, candidates must have experience doing compliance in the asset management space for an “RIA” or “Registered Investment Advisor.”
Please email your background to Email blocked - click to apply or you can call Chris Willhite at Phone number blocked - click to apply.
Here is a detailed job description:
Must have RIA experience (no exceptions).
The private equity firm is an institutional investor base includes corporations, endowments, foundations, pension funds, banks, insurance companies, and funds of funds. The firm's investment philosophies include the primacy of idiosyncratic risk management, exploring market inefficiencies, fundamental research and active investment management.
The investment firm has an immediate opening for bright, Compliance Analyst for the Legal and Compliance departments. Our professional organization seeks a qualified candidate who performs well under pressure, prioritizes effectively, and enjoys working in a very fast paced environment. The Compliance Specialist will be responsible for assisting the Legal Department in managing the firm's compliance platform, including implementation of new policies and procedures, monitoring and testing of existing and new policies and procedures and maintenance of the firm's books and records.
Responsibilities
Quarterly and annual back-testing of policies and procedures relating to, among others: best execution, allocations, personal and client account trades, valuation and fund share pricing, marketing review processes, disaster recovery, Code of Ethics procedures and records retention
Maintenance of firm restricted list and compliance with all applicable securities law and contractual transfer restrictions relating to equity trades (includes primary interface with firm trade order management system)
Reconciliation of brokerage statements relating to employee personal trades
Preparation and scheduling of compliance, proxy voting, and best execution committee meetings
Monitoring of company email and assistance with the firm's annual review
Work with CFO on budgeting, forecasting and external investor reporting

Qualifications
4-7+ plus years of compliance experience in corporate finance, investment advisory or corporate banking
Exposure to bank loans, bonds and equities a plus
Excellent verbal/written communication skills
Superior work ethic and professional habits
Strong MS Office and computer skills

Please email your background to Email blocked - click to apply or you can call Chris Willhite at Phone number blocked - click to apply.
REQUIRED - experience doing compliance for a Registered Investment Advisor (RIA)

Robert Half Finance & Accounting, the world's leader in specialized financial staffing, provides exciting full-time opportunities in the areas of accounting, bookkeeping, finance, audit, taxation and more. We pioneered the professional staffing industry, and we've been successfully matching professionals with employers since 1948. Our proven proprietary processes, along with our relationships in 325 locations worldwide, allow us to provide you unparalleled access to exciting career opportunities. But don't take our word for it. Our company has appeared on Fortune® magazine’s list of “World's Most Admired Companies” since 1998, and 9 out of 10 of our customers would recommend our service to a colleague.

Apply for this job now or contact our nearest office at 888.490.5461 for additional information.

All applicants applying for U.S. job openings must be authorized to work in the United States. All applicants applying for Canadian job openings must be authorized to work in Canada.

© 2019 Robert Half Finance & Accounting. An Equal Opportunity Employer M/F/Disability/Veterans.

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Recommended skills

Securities (Finance)
Equities
Private Equity
Investment Management
Finance
Corporate Finance
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