Dallas-Fort Worth, TX
Our client, a prominent global hedge fund with approximately $25 billion in assets, is seeking a Compliance Associate. The firm offers a highly competitive compensation package (base salary and annual bonus), outstanding benefits package, tremendous professional growth potential, and a highly collegial working environment.
• Bachelor’s degree
• 5+years working in the compliance department of a SEC adviser/FINRA broker dealer
• Experience with Code of Ethics, forensic testing, monitoring investment guidelines/restrictions, etc.
• Worked within compliance department conducting forensic testing related to various aspects of an RIA and/or broker dealer
• Basic understanding of FINRA broker-dealer rules/requirements is a plus
• Strong writing and communication skills
• Strong Excel skills
• Detail-oriented and organized
• Able to work independently
• Series 7 or similar helpful
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