Dallas, United States

Compliance Associate

Full-time / part-time
Full-time
Level
Associate
Department
Compliance & Risk
Address
2777 North Stemmons Freeway
Dallas
75207
United States

Job description

Responsibilities:  Primarily, an associate is responsible for providing day-to-day support in the development, implementation, and maintenance of compliance programs for a variety of financial services firms, which includes but is not limited to:

  • Develop and implement policies and procedures for clients in accordance with the client’s regulatory requirements;
  • Lead discussions with clients around testing areas, review findings, and recommendations;
  • Participate in compliance training for clients;
  • Assist in conducting quarterly testing and annual compliance reviews of our clients’ compliance program;
  • Understand and explain key regulatory rules and how best to practically implement them;
  • Remain up to date on relevant regulatory changes and advise clients accordingly;
  • Prepare registration filings with the appropriate regulatory bodies for management review; 
  • Assist in conducting mock regulatory exams;
  • Assist in providing SEC and FINRA exam support;
  • Prepare and submit annual and quarterly regulatory filings (including, without limitation, Forms ADV, PF, 13F, 13H, and PQR) independently; and
  • Proactively provide practical, business friendly solutions for regulatory issues.

 

In addition, associates are expected to:

  • Complete firm administrative tasks in a timely and accurate matter. This includes expense reporting, time reporting, and performance reviews;
  • Be an active member of internal initiatives; and
  • Promote a culture of collaboration, inclusion, and diversity.

Qualifications

Requirements:  

  • Undergraduate degree required;
  • 3+ years of compliance related experience or law school degree;
  • Working knowledge of SEC, NFA, or FINRA rules and regulations is a plus;
  • Excellent written and verbal communication skills;
  • Self–starter and collaborative problem solver;
  • Strong research skills;
  • Ability to multi-task across a range of clients with different Greyline teams with constantly shifting priorities.

 

 

Additional information

All your information will be kept confidential according to EEO guidelines.

Company description

The Firm’s clients are primarily registered investment advisers including traditional advisers, mutual fund managers, private equity firms, hedge funds, and venture capital firms. Join our team and together we'll power the sound decisions that enhance value - yours and ours.

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