Larson Maddox
A premier alternative investment management firm located in DFW is looking to bring on a Compliance Associate to their growing team. With 170+ employees across the globe and $19B+ in AUM, this firm has diverse capital offerings including capital solutions, direct lending, derivatives and fund liquidity. The Compliance Associate will support the firm's Chief Compliance Officer on maintaining a robust program. This role will require 4 days in office.
Responsibilities : Regulatory filings such as Form ADV & PF Review of marketing materials Code of Ethics administration, personal trade monitoring, maintaining restricted lists etc Update/maintain policies and procedures Conduct compliance trainings/onboarding
Requirements : Bachelors Degree 2+ years of compliance experience Knowledge of Investment Advisers Act of 1940 Team player, good communicator, professional
Responsibilities : Regulatory filings such as Form ADV & PF Review of marketing materials Code of Ethics administration, personal trade monitoring, maintaining restricted lists etc Update/maintain policies and procedures Conduct compliance trainings/onboarding
Requirements : Bachelors Degree 2+ years of compliance experience Knowledge of Investment Advisers Act of 1940 Team player, good communicator, professional