Senior Compliance Analyst - Investment Management

We are representing a $35 Billion AUM investment business that is hiring a Senior Compliance Analyst, based in Dallas TX. Why Join Us:$35 Billion AUM investment firm established for 30 years with ongoing rapid growth and career opportunitiesFirm supports employee work-life balance and flexibility, with a supportive "people-first" environment and a collaborative approachTransparent and ethical client relationship management, leading to 97% client retentionResponsibilities: Reporting directly to the Chief Compliance Officer, you will support the compliance program for both the RIA and Broker-DealerAssist in the ongoing implementation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conductEngage in proactive surveillance activities to detect and resolve potential compliance issuesAssist with the implementation and maintenance of the firm's anti-money laundering programReceive and review requests for marketing and advertising review and approvalAssist with inquiries from internal business partners regarding Compliance related issuesIdentify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of issuesAssist in communicating the compliance program for the organization, including promoting awareness of policies and procedures, and further understanding of new and existing compliance issuesAssist in the filing and monitoring of registration (including continuing education and ethics requirements) and memberships of the Company and all relevant associates remain currentPrepare and submit regulatory filings including SEC Forms 13F, 13H and Form N-PX Requirements:Essential Education: Bachelor's degreeActive FINRA licensing is beneficial to the roleDemonstrable hands-on compliance experience at an investment firm, including exposure to SEC and FINRA regulation (RIA & BD)Experience reviewing and approving complex marketing materials

Created: 2026-05-09