SEC Compliance Manager

Tolleson Wealth Management

Dallas, TX

-Administer the Securities and Exchange Commission (SEC) investment adviser compliance program. In-depth knowledge of the Investment Advisers Act of 1940 is required.
-Conduct on-going compliance monitoring and testing of the of the SEC compliance program to make modifications that will prevent, detect and correct securities law violations and mitigate risks to the firm.  Draft and amend policies and procedures and Code of Ethics to reflect the current business practices of the firm and the rules that govern them.
-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.
-Work closely with Tolleson’s marketing department to review marketing materials and other firm deliverables for compliance with regulatory requirements. Working knowledge of Rule 206(4)-1 of the Investment Advisers Act is required.
-Support the administration of the firm’s Code of Ethics through our automated compliance monitoring system.
-Develop, prepare and document training for employees in regard to their compliance responsibilities. Keep all employees and upper management abreast of changing regulatory requirements and compliance initiatives.
-Prepare and submit required regulatory filings for SEC, state and other industry regulators.
-Coordinate external custody audit and other audits as needed under the SEC compliance program.
-Coordinate, prepare and take minutes for all Compliance Meetings.
-Conduct weekly email review over all firm correspondence to ensure compliance with the applicable rules.

Position Requirements:

-5-10 years of SEC compliance experience is required
-Bachelor’s degree required for the position
-Ability to work effectively with minimal supervision
-Proficient in Microsoft Suite.  Experience with CRM and MyComplianceOffice (MCO) is a plus.
-Excellent analytical, organizational and problem-solving skills
-Strong attention to detail, excellent verbal and written communication skills
-Good team player with demonstratable thoroughness and ability to work independently when necessary
-Must consent to and have favorable consumer report and background check
-Ability to maintain extreme confidentiality

NO AGENCIES PLEASE 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.

To Apply, please visit www.tollesonwealthmanagement.com Careers page