Dallas, United States

Compliance Vice President

Full-time / part-time
Compliance & Risk
2777 North Stemmons Freeway
United States

Job description

We are looking to hire a  Compliance Vice President to assist clients with meeting their regulatory obligations with the Investment Company Act and Investment Advisers Act.  We are looking for someone to provide advice and compliance consulting services to registered funds and Business Development Companies (BDCs). This opportunity is perfect for someone who likes to work on a variety of things for a diverse client base. Excellent organizational skills and the ability to multi-task on several projects is required.

  • Provide oversight and assistance in the day-to-day support in the development, implementation, and maintenance of compliance programs for firms with a registered funds, including but not limited to:
  • Development and implementation of compliance policies and procedures – taking a proactive approach to ensuring policies are implemented;
  • Conduct annual compliance reviews and internal control testing;
  • Prepare and submit annual and quarterly board materials and regulatory filings;
  • Oversee the monitoring of clients’ employees’ personal trading and electronic communications;
  • Assist clients in organization and maintenance required books and records;
  • Provide onsite training to clients regarding regulatory requirements and best practices;
  • Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly.
  • Register clients with the SEC; 
  • Assist in conducting mock regulatory exams;
  • Assist in providing SEC exam support;
  • Proactively provide practical, business friendly solutions for esoteric regulatory issues.


  • Undergraduate degree required;
  • 5+ years of Investment Company Act/Investment Advisers Act related experience;
  • Experience with assisting firms registering with the appropriate regulatory body as well as implementation of ongoing compliance programs;
  • Excellent written and verbal communication skills;
  • Experience with compliance program development and maintenance;
  • Independent self-starter, as well as collaborative problem solver;
  • Strong research skills;
  • Ability to multi-task across a range of projects with constantly shifting priorities;
  • Management experience preferred.


Additional information

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

Company description

Our clients are primarily registered investment advisers including traditional advisers, mutual fund managers, private equity firms, hedge funds, and venture capital firms. The firm’s culture is collaborative, entrepreneurial, and innovative.

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