Compliance Officer

I’m working with a highly regarded SEC-registered investment adviser in Houston that is looking to add a Compliance Officer to its growing team.

This is a hands-on role reporting directly into the CCO, with exposure across the firm’s wealth management and investment activities.





The role will cover:


- Compliance monitoring, testing and surveillance
- Investment Advisers Act / SEC regulatory requirements
- Portfolio & asset management compliance
- Alternative investments and private/pooled investment vehicles
- Client and investment management agreements
- Code of Ethics administration
- Third-party sub-adviser & vendor oversight
- Electronic communications and social media review
- Policies, procedures and supervisory controls
- Supporting SEC examinations and the annual 206(4)-7 compliance review






Ideal background:


- Senior compliance experience within an RIA / investment adviser
- Wealth management, private equity, alternatives or pooled investment experience
- Strong knowledge of the Investment Advisers Act of 1940
- Comfortable working closely with investment and operational teams
- Strong attention to detail and ability to operate independently