Deputy Compliance Officer
Aethon Energy
Location: Dallas, TX
Aethon Energy (Aethon) is seeking a Deputy Compliance Officer in our Dallas, Texas Corporate Office.
The Deputy Compliance Officer, reporting to Chief Administrative (and Compliance) Officer, is responsible for oversight and supervision of Aethon’s financial and regulatory compliance program as a registered investment advisor. In this role, you will help enhance Aethon’s comprehensive approach to ensuring compliance with laws, regulatory requirements, policies and procedures. This includes ongoing review and improvements to our standards and procedures to demonstrate efficacy and efficiency in our ability to identify, prevent, detect and address potential noncompliance with applicable laws and regulations. You will serve as an advisor to Aethon’s leadership team about factors and changes that are influencing the evolving regulatory landscape of our business, and to make sure our compliance program is well understood and respected by all team members.
Aethon Energy is a leading private investment firm focused on acquiring, operating, and developing onshore energy assets across North America. Founded in 1990 and headquartered in Dallas, TX, AEM has a 30-plus year track record of generating attractive returns for its fund investors over multiple commodity price cycles. Aethon employs more than 300 employees across its businesses, which drives large-scale upstream development with vertically integrated midstream assets and disciplined risk management to provide capital efficient growth. We are looking for talented and motivated people to join us on our mission of creating exceptional value through sustainable energy solutions that make the world better.
Key Responsibilities:
• Develop, implement, and oversee the firm's compliance policies, procedures, and internal controls, ensuring alignment with regulatory requirements and industry standards.
• Analyze firm business practices and developments for applicable regulatory implications and provide proactive, expert guidance.
• Assist in leading and overseeing annual compliance reviews and internal control testing and relevant documentation.
• Conduct regular compliance assessments and audits to identify areas of risk and recommend corrective actions.
• Maintain and update compliance manuals and code of ethics in line with annual compliance reviews.
• Oversee all review, authorization and record-keeping of covered activities (i.e. preclearance of securities trades).
• Lead the firm's efforts in obtaining and maintaining necessary licenses and registrations.
• Monitor changes in laws, regulations, and guidelines that impact registered investment advisors, and proactively update internal policies and practices as needed.
• Collaborate with executive management, legal, risk management, and other departments to provide guidance on compliance matters related to fund operations, investor relations, and acquisitions.
• Provide training and education to employees on compliance policies and procedures, fostering a strong culture of compliance awareness.
• Oversee the preparation and submission of regulatory filings and reports.
• Manage relationships with external regulatory authorities, auditors, and third-party compliance consultants.
• Lead investigations with Legal into potential compliance breaches, ensuring timely resolution and appropriate follow-up actions.
• Stay current with industry trends and best practices to continuously enhance the firm's compliance program.
Qualifications:
• Bachelor's degree in a relevant field; advanced degree or professional certifications (e.g., CCO, CRCM, CCEP) preferred.
• 7-10+ years of experience in financial services compliance or risk management role with a registered investment advisor.
• Proven experience in developing and implementing compliance processes and policies.
• Strong analytical and problem-solving abilities.
• Ability to work collaboratively across departments and levels of the organization.
• Detail-oriented and able to manage multiple tasks and priorities effectively.
• High level of personal and professional integrity and business ethics.
• Excellent communication and interpersonal skills.
• Proficiency in relevant compliance software solutions and tools such as Global Relay, ComplySci, Smarsh, etc.
Benefits:
• Premiums for health, dental, and vision insurance for employee and children are 100% paid for by Aethon and premiums for spouse are 75% covered.
• 401k match 100% up to 7% of annual base salary
• Health Advocate to assist navigating your medical, dental, and vision insurance
• Company provided:
• Basic Life and AD&D Insurance
• Short- and Long-Term Disability Insurance
• Flexible telecommuting schedule (currently WFH on Monday and Friday)
• Paid vacation time
• Casual dress code
• Unlimited access to workout facilities within the building
• Wellness program with earned incentives for completed activities
Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this job. Employees must be willing and able to perform other duties as assigned. Duties, responsibilities, and activities may change at any time with or without notice.
Unfortunately, due to the high volume of applications, we are unable to acknowledge every applicant.
Aethon does not accept unsolicited resumes from recruiters or employment agencies. In the event a recruiter or agency submits a resume or candidate without a previously signed agreement and approved engagement request, Aethon reserves the right to pursue and hire those candidate(s) without any financial obligation to the recruiter or agency.