Our client, a leading global investment manager, is looking for a Senior Compliance Manager in Houston. You will be working closely with the US CCO.
The ideal candidate must have significant experience leading a team at an SEC-registered advisor preferably at a Retail RIA and will be responsible for overseeing and monitoring the compliance program on a day-to-day basis as well as acting as CCO for the robo advisor. Strong knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 is required with CFTC/FINRA regulatory knowledge a plus. Background with testing and reporting programs within a compliance governance setting preferred.
This newly created role will suit a highly motivated, entrepreneurial professional with an appetite to learn and a desire to work in a fast paced international environment. You will need to possess a strong academic profile, excellent organizational & communication skills and the ability to work with moderate supervision. Relocation package is an option for the right candidate.
For more information, please contact Benjamin Ellison on 646 766 1212