What are the responsibilities and job description for the SEC Compliance Analyst position at Tolleson Wealth Management?
Duties And Responsibilities
No calls or agencies please. Any Employment Agency, person or entity that submits an unsolicited resume to this site does so with the understanding that the applicant's resume will become property of Tolleson Wealth Management and that Tolleson Wealth Management will have the right to hire that applicant at its discretion and without any fee owed to the submitting Employment Agency, person or entity. Employment Agencies that have entered into agreements with Tolleson Wealth Management must submit applicants in accordance with the terms of the applicable agreements in order to be eligible for payment of placement fees.
Tolleson Wealth Management is an Equal Opportunity Employer
- Assist Compliance Director with the administration of the Securities and Exchange Commission (SEC) investment adviser compliance program
- Provide support to Compliance Director with the on-going monitoring, reporting and testing of the SEC Compliance program to make modifications that will prevent, detect and correct securities laws violations and mitigate risks to the firm. Assist with drafting and amending policies and procedures to reflect the current business practices of the firm and the rules that govern them
- Conduct weekly email reviews to ensure compliance with the Books and Records Rule 204-2(a)(7)
- Prepare and submit initial and annual registration paperwork through IARD for the Investment Advisory firm and individual registered advisory representatives
- Work closely with Tolleson’s marketing department to review marketing materials and other firm deliverables for compliance with regulatory requirements
- Support the administration of the firm’s Code of Ethics through automated compliance monitoring system. This includes monitoring employee personal trading, new hire compliance documentation and quarterly and annual Code of Ethics reporting
- Assist with firm regulatory filings and annual Surprise Custody Exam
- Ensure compliance with regulations and controls by conducting research of various rules, reviewing risk alerts and other compliance publications and participating in industry conferences and webinars
- Coordinate, prepare and take minutes for all Compliance Meetings
- Other duties as assigned by management
- Knowledge and technical expertise with the Investment Advisers Act of 1940 required
- 3 or more years of experience working in RIA compliance
- Bachelor’s degree in business, finance, or relevant field
- Proficient in Microsoft Suite (Excel, PowerPoint, Word, Outlook)
- Previous experience with CRM and Schwab Compliance Technologies is a plus
- Excellent analytical, organizational and problem-solving skills
- Superior attention to detail, excellent verbal and written communication skills
- Strong team player with demonstratable thoroughness and ability to work independently and collaborate across teams when needed.
- Must consent to and have favorable consumer report and background check
- Ability to maintain extreme confidentiality
No calls or agencies please. Any Employment Agency, person or entity that submits an unsolicited resume to this site does so with the understanding that the applicant's resume will become property of Tolleson Wealth Management and that Tolleson Wealth Management will have the right to hire that applicant at its discretion and without any fee owed to the submitting Employment Agency, person or entity. Employment Agencies that have entered into agreements with Tolleson Wealth Management must submit applicants in accordance with the terms of the applicable agreements in order to be eligible for payment of placement fees.
Tolleson Wealth Management is an Equal Opportunity Employer
