New job Senior Compliance Officer – Private Equity Dallas, Texas

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Senior Compliance Officer – Private Equity Dallas, Texas Gerald Elliott posted a job: Senior Compliance Officer – Private Equity Dallas, Texas "Our client a private equity firm seeks to hire a Compliance professional.  The Compliance Officer will be responsible for a wide array of responsibilities and daily compliance activities. Duties and Responsibilities · Code of Conduct, Company policies – implements Company policies and procedures regarding legal/regulatory requirements, ethics and business conduct and communicates same to management, employees, and contractors; maintain and update as necessary; ensure communication and enforcement of same · Marketing Material Review – review marketing material for compliance with regulatory requirements · Senior officers, managers – provide guidance on compliance issues as appropriate · Training programs – develop materials and conduct training sessions with employees and management,focusing on issues specific to each group; update all training as necessary · Violations – responds to suspected violations of Company policy through investigations and recommendation of appropriate disciplinary action; reports findings to senior management as required · High Risk areas – identify same and develop appropriate measures to minimize risk · Filings and Disclosure – review and update Form ADV, Part 1A, 2A and 2B in addition to the respective private fund governing documents · Responsibilities will also include review of disaster recovery, subscription documents, investor suitability, correspondence, email, and work with investors, regulators and auditors. · Position will play integral part of working with outside consultants and legal counsel to develop and implement firm-wide compliance program as well as monitoring of such program on an on-going basis. · This position will be responsible for all areas of compliance within the Firm; o Implement and execute firm-wide e-mail surveillance program; o Monitor and test employee personal trading for compliance with the code of ethics; o Monitor and enforce gift and entertainment policy, and track political contributions; o Oversee and coordinate regulatory examinations; o Track and monitor NDA’s and confidentiality agreements; o Respond to Limited Partner requests regarding our status as an RIA and other ad-hoc regulatory requests; and o Perform testing of compliance functions on a regular basis. Qualifications: · 5-7 years compliance experience with strong understanding of Federal securities laws (the Investment Advisers Act of 1940, Securities Act of 1933, and the Securities Exchange Act of 1934). · Financial services experience a must (Private Equity or Hedge Fund preferred). · Successful candidates will have experience responding to regulatory inquiries, implementing policies and procedures, and assessing risk related to rules of the SEC. · Ability to communicate effectively with senior management (position will report directly to Chief Compliance Officer (CCO)/Chief Financial Officer). · Strong work ethic with great attention to detail. · Must demonstrate ability to work independently and will be expected to assist in the building of an internal compliance function at the firm. · Must think “out of the box” and be extremely energetic and pro-active. To apply please submit your resume to Info@compliancesearch.com"

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