Atlantic Group Inc
Location: Houston, TX
Type: Perm (Contingency)
Job #46242
Salary: $100,000
Job Overview - Compliance Analyst:
Compensation: $100,000 - $120,000/year + bonus
Location: Houston, TX
Schedule: Monday to Friday (In-Office)
Atlantic Group is hiring a Compliance Analyst for our client in Houston, TX. In this role, you will support the firm's compliance program under the Investment Advisers Act of 1940 and Investment Company Act of 1940 by managing calendar tasks, regulatory filings, and policy testing. You will also use MyComplianceOffice (MCO) or ComplySci for Code of Ethics monitoring. This is an excellent opportunity for candidates with investment adviser compliance experience, strong attention to detail, and an interest in regulatory policy and risk management.
Responsibilities as the Compliance Analyst:
Program Oversight:
Support implementation, monitoring, and testing of the firm's compliance program under the Advisers Act and Investment Company Act. Policy & Testing:
Conduct reviews of policies and procedures to ensure compliance with SEC regulations. Code of Ethics:
Monitor employee personal trading, political contributions, outside business activities, and restricted lists using MCO or ComplySci. Regulatory Filings:
Assist with the preparation and submission of Form ADV, Form PF, and other required filings. Calendar Management:
Maintain the compliance calendar to ensure timely completion of ongoing tasks and projects. Training & Development:
Contribute to compliance training programs by preparing materials and supporting employee education. Qualifications for the Compliance Analyst:
Education:
Bachelor's degree in Finance, Business, Accounting, Economics, or a related field required. Experience:
1-4 years of investment adviser compliance experience with direct knowledge of the Advisers Act and hands-on involvement in Code of Ethics monitoring. Industry Knowledge:
Familiarity with MCO or ComplySci and prior experience in compliance consulting or asset management preferred. Technical Skills:
Proficient in compliance monitoring systems (MCO, ComplySci) and Microsoft Office Suite. Skills & Attributes:
Strong communicator with excellent organizational skills, detail-oriented, and adept at multitasking, analysis, and problem-solving. Application Notice:
Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.
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Email Address:
Phone Number:
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Atlantic Group is hiring a Compliance Analyst for our client in Houston, TX. In this role, you will support the firm's compliance program under the Investment Advisers Act of 1940 and Investment Company Act of 1940 by managing calendar tasks, regulatory filings, and policy testing. You will also use MyComplianceOffice (MCO) or ComplySci for Code of Ethics monitoring. This is an excellent opportunity for candidates with investment adviser compliance experience, strong attention to detail, and an interest in regulatory policy and risk management.
Responsibilities as the Compliance Analyst:
Program Oversight:
Support implementation, monitoring, and testing of the firm's compliance program under the Advisers Act and Investment Company Act. Policy & Testing:
Conduct reviews of policies and procedures to ensure compliance with SEC regulations. Code of Ethics:
Monitor employee personal trading, political contributions, outside business activities, and restricted lists using MCO or ComplySci. Regulatory Filings:
Assist with the preparation and submission of Form ADV, Form PF, and other required filings. Calendar Management:
Maintain the compliance calendar to ensure timely completion of ongoing tasks and projects. Training & Development:
Contribute to compliance training programs by preparing materials and supporting employee education. Qualifications for the Compliance Analyst:
Education:
Bachelor's degree in Finance, Business, Accounting, Economics, or a related field required. Experience:
1-4 years of investment adviser compliance experience with direct knowledge of the Advisers Act and hands-on involvement in Code of Ethics monitoring. Industry Knowledge:
Familiarity with MCO or ComplySci and prior experience in compliance consulting or asset management preferred. Technical Skills:
Proficient in compliance monitoring systems (MCO, ComplySci) and Microsoft Office Suite. Skills & Attributes:
Strong communicator with excellent organizational skills, detail-oriented, and adept at multitasking, analysis, and problem-solving. Application Notice:
Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.
Your Name:
Email Address:
Phone Number:
Upload Resume File:
Upload Resume File: ... Attach a resume file. Accepted file types are DOC, DOCX, PDF, HTML, and TXT.
By submitting this application, you give us permission to store your personal information, and use it in the consideration of your fitness for the position, including sharing it with the hiring firm. By submitting this application, you agree to our Terms of Service.
People looking for jobs should not put anything here.
We are uploading your application. It may take a few moments to read your resume. Please wait!