Senior Compliance Officer - Dallas, United States - Hamlyn Williams

    Hamlyn Williams
    Hamlyn Williams Dallas, United States

    1 month ago

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    Description

    Client:
    Leading Investment Management Firm (IPO)

    Location:
    New York City or Dallas
    • HybridRole / Requirements:Series 7, 24RIA and/or broker dealer compliance experiencePrevious exposure to RIAs, REIT, mortgages, and similar investment strategies preferredLeadership experience in leading a small team (2)Will oversee ownership of the annual review of the RIA, own all regulatory findings, compliance training, etc.
    Experience using My Compliance Office systemJD preferred, open to granting Associate General Counsel title as wellCompensation:
    $300, ,000 total comp + stock options#J-18808-Ljbffr