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Compliance Manager (RIA)

Description

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 [Click Here to Email Your Resumé] or you can call Chris Willhite at 972-789-9590. 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 [Click Here to Email Your Resumé] or you can call Chris Willhite at 972-789-9590.

Requirements

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.

By clicking 'Apply Now' you are agreeing to Robert Half Terms of Use.

Job Snapshot

Location US-TX-Dallas
Employment Type Full-Time
Pay Type Year
Pay Rate N/A
Store Type Accounting, Finance
Other Compensation: DOE
Apply

Company Overview

Robert Half Finance & Accounting U.S

Robert Half Finance & Accounting pioneered specialized financial recruitment in 1948 and today, as a result, is the worldwide leader in the industry. We specialize in placing experienced professionals in areas such as accounting, finance, credit and collections, bookkeeping, payroll and taxation. For six decades, we have developed lasting relationships with the industry- leading companies we serve, giving us access to the best career opportunities for our candidates. Learn More

Contact Information

US-TX-Dallas
Recruiter
469-608-6949
972-386-5788
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Snapshot
Robert Half Finance & Accounting U.S
Company:
US-TX-Dallas
Location:
Full-Time
Employment Type:
Year
Pay Type:
N/A
Pay Rate:
Accounting, Finance
Store Type:

Description

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 [Click Here to Email Your Resumé] or you can call Chris Willhite at 972-789-9590. 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 [Click Here to Email Your Resumé] or you can call Chris Willhite at 972-789-9590.

Requirements

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.

By clicking 'Apply Now' you are agreeing to Robert Half Terms of Use.

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