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B.G.A. & Associates-Austin, TX, 78704
Leading investment advisory firm seeks candidate with a Compliance background working along side the Marketing and Sales department of investment firms. This position will be responsible for all marketing & sales compliance matters (SEC, FINRA, and foreign regulations) and general support for overall compliance programs. Responsibilities: - Provide expert advice and guidance to the firm and its employees on sales and marketing compliance regulations (Investment Advisers Act, Investment Company Act, ERISA, SEC and FINRA regulations) - Serve as the main compliance resource for the Communicati...
Compliance Officer Jobs in Austin, Texas Jobs
TechSkills | Austin, TX, 73301 | >5
The Chief Compliance Officer is responsible for leading enterprise compliance efforts, designing and implementing internal controls, policies and procedures to assure compliance with state and federal laws and regulations and third party guidelines such as accreditation readiness; managing audits and investigations into regulatory and compliance issues; and responding to requests for information from regulatory bodies. This position reports to the CEO and acts as staff to the Board of Directors. Essential Duties and Responsibilities - Ensures that appropriate Department of Education, accred...
Dimensional Fund Advisors | Austin, TX, 78789, USA | >5
Compliance Officer Job ID: 2009-1391 # Positions: 1 Location: US-TX-Austin Category: Compliance Apply for this job: * Apply for this opportunity online * Email this opportunity to a friend More information about this job: Overview: This position will be responsible for all marketing & sales compliance matters (SEC, FINRA, and foreign regulations) and general support for overall compliance programs. Responsibilities: * Provide expert advice and guidance to the firm and its employees on sales and marketing compliance regulations (Investment Advisers Act, Investment Company Act, ERISA, SEC and...
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