Investment Compliance Officer

Exciting In-House Legal and Compliance Officer search for an SEC-registered investment advisory firm. This role is ideal for a lawyer (or compliance professional) with 2 to 5 years of investment compliance experience who is looking for an exciting in-house position. Reporting to the Chief Compliance Officer, you will play a key role in reviewing marketing materials, conducting compliance testing, and supporting regulatory filings within a dynamic asset management environment. Hybrid schedule with office located in Fort Worth. What you'll do: Review marketing, advertising, and client communication materials for compliance with SEC rules Conduct periodic and ad hoc compliance testing of expenses, investments, and trading Assist in preparing and submitting regulatory filings Research regulatory developments and support investigations Maintain and organize compliance documentation What we are looking for: J.D. and licensed to practice law in any U.S. state 5+ years of investment compliance experience, preferably in asset management or private funds Strong knowledge of SEC regulations pertaining to RIAs and investment companies Preferred: either in-house RIA or large law firm background Analytical skills, self-starter, collaborative approach and sound judgment We are an equal opportunities employer and welcome applications from all qualified candidates.

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