Atlantic Group Inc
Overview
We are representing a Compliance opportunity with a publicly traded asset management firm in Houston, TX. The firm provides long term debt and equity capital to lower middle market companies. It has over 100 employees and $8B in AUM. This individual will join a small compliance/legal team and work in office. Base pay range
$100,000.00/yr - $120,000.00/yr Additional compensation
Annual Bonus Compensation: $100,000-120,000 base + bonus Responsibilities
Monitor code of ethics compliance, including personal trading, political contributions, outside business activities, and restricted list activities. Assist in the implementation, monitoring, and testing of the firms compliance program. Assist with oversight of investments to ensure compliance with company policies and procedures. Maintain monthly compliance calendar and ensure completion of routine compliance matters. Assist in preparing regulatory filings, including Form ADV and Form PF. Monitor U.S. regulations and related updates to policies and procedures. Qualifications
1-4 years of compliance experience at an investment management firm, financial institution, or consulting firm. Seniority level
Associate Employment type
Full-time Job function
Legal Industries
Venture Capital and Private Equity Principals and Financial Services
#J-18808-Ljbffr
We are representing a Compliance opportunity with a publicly traded asset management firm in Houston, TX. The firm provides long term debt and equity capital to lower middle market companies. It has over 100 employees and $8B in AUM. This individual will join a small compliance/legal team and work in office. Base pay range
$100,000.00/yr - $120,000.00/yr Additional compensation
Annual Bonus Compensation: $100,000-120,000 base + bonus Responsibilities
Monitor code of ethics compliance, including personal trading, political contributions, outside business activities, and restricted list activities. Assist in the implementation, monitoring, and testing of the firms compliance program. Assist with oversight of investments to ensure compliance with company policies and procedures. Maintain monthly compliance calendar and ensure completion of routine compliance matters. Assist in preparing regulatory filings, including Form ADV and Form PF. Monitor U.S. regulations and related updates to policies and procedures. Qualifications
1-4 years of compliance experience at an investment management firm, financial institution, or consulting firm. Seniority level
Associate Employment type
Full-time Job function
Legal Industries
Venture Capital and Private Equity Principals and Financial Services
#J-18808-Ljbffr