9 Compliance Associate Jobs in Dallas, TX
Larson Maddox is Hiring a Compliance Associate Near Dallas, TX
A growing registered investment advisor is adding to their legal and compliance team and is looking for you to be the firms next Compliance Associate! This is an incredibly exciting time to join the firm as they are opening their first office in the Southeast - offering an opportunity to be a founding member of the office. The Compliance Associate will be responsible for a variety of compliance related matters, which are detailed below. If you are passionate about compliance and looking for an opportunity where the growth potential is exceptional, apply in now!
The Compliance Associate will be responsible for:
- Enforcing Compliance policies such as the Code of Ethics, employee certifications, regulatory filings, and document retention.
- Monitoring personal and firm trading, maintaining restricted lists, managing various logs, conducting document review and upload, call monitoring, approving expert networks, and communicating regularly with third-party brokerage firms.
- Assisting in the annual review and training of compliance policies, as well as conducting reviews of the compliance program and regulatory updates for Compliance Committee meetings.
- Conducting back testing related to expense allocations, trade allocation exceptions, managed accounts, and personal trading accounts.
The Compliance Associate should have the following qualifications:
- Strong academic background.
- 2 - 4 years of relevant experience in accounting firms, financial institutions, consulting firms, or regulatory agencies.
- Professional and able to handle confidential information with trustworthiness.
- Excellent interpersonal and communication skills, both written and verbal.
- Strong analytical skills, attention to detail, organizational abilities, and proven multitasking capabilities.
- Ability to work effectively under pressure in a fast-paced environment.
- Self-starter, capable of working independently and quick to learn.
If what is listed above sounds like what you are looking for, do not wait to apply into this fast moving Compliance Associate opportunity!
Job Summary
Full Time
$85k-107k (estimate)
06/05/2024
08/01/2024
The job skills required for Compliance Associate include Attention to Detail, Accounting, Trading, Analytical Skills, Communication Skills, Consulting, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Associate. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Associate. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Associate positions, which can be used as a reference in future career path planning. As a Compliance Associate, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Associate. You can explore the career advancement for a Compliance Associate below and select your interested title to get hiring information.
If you are interested in becoming a Compliance Associate, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Associate for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Compliance Associate job description and responsibilities
Compliance officers organize regular training sessions for employees to communicate key regulatory changes and updates.
04/12/2022: Tallahassee, FL
Perform other compliance-related responsibilities and special projects as needed.
05/02/2022: Chico, CA
They perceive the compliance risks and regulation measures within the business.
03/04/2022: Rochester, MN
Compliance associate understands the system and be able to establish their system.
03/21/2022: Killeen, TX
A compliance officer explains and defend their point of view.
02/09/2022: Madison, WI
Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Compliance Associate jobs
Get Certifications and Continue Learning.
02/20/2022: Pascagoula, MS
Look for the Motivation of the Business.
03/31/2022: Spartanburg, SC
Proactively Work with Other Business Functions.
02/13/2022: Portsmouth, OH
Carefully Evaluate the Security and Compliance Posture of Business Associates.
03/02/2022: Elyria, OH
To execute the above tasks and to effectuate desired value, the compliance manager must possess a defined set of skills and expertise.
05/03/2022: Olympia, WA
Step 3: View the best colleges and universities for Compliance Associate.
Similar Jobs
Popular Articles
