Jobs
>
Dallas

    Compliance Manager - Dallas, United States - AlTi Tiedemann Global

    AlTi Tiedemann Global
    AlTi Tiedemann Global Dallas, United States

    2 weeks ago

    Default job background
    Accounting / Finance
    Description

    Company Description

    AlTi Tiedemann Global ("ALTi") is a NASDAQ listed global wealth and alternatives manager, in the business of turning powerful ideas into high-performing strategies and solutions. The firm currently manages or advises on approximately $68 billion in combined assets and has an expansive network with over 490 professionals across three continents

    Whether our clients are individuals or institutions, foundations or family-led businesses, we offer a connected ecosystem of advice, solutions and innovative investment opportunities from across our global network.

    We are passionate about finding better ways to serve our clients. We approach problems with open-mindedness and a restless entrepreneurial spirit to deliver more for clients.

    Our culture is rooted in curiosity. We support the unique qualities of each team member and the entrepreneurial spirit shared by all of us. We come from different backgrounds and offer different perspectives. We believe these differences make us better suited for a fast-changing world.

    As a growing global firm with offices in ten countries on four continents, we are looking for talented individuals to expand our team. If you share our passion for ideas and commitment to excellence, we want you to join us.

    To learn more visit alti-

    Job Description

    AlTi is looking for an experienced compliance professional to join the Legal/Compliance team. This role will be focused on maintaining the firm's compliance program in satisfaction of regulatory obligations, including assisting with the development and implementation of policies and procedures, managing the firm's external compliance resources, and performing other day-to-day compliance functions. This position will have frequent and direct contact with employees and serve as an accessible and informed representative of the Legal/Compliance team. The Compliance Manager will report to the Chief Compliance Officer of AlTi's U.S. Wealth Management Division.

    Job Responsibilities

    • Implement and enforce the firm's compliance policies and procedures, including overseeing Code of Ethics compliance for employees
    • Perform compliance monitoring, testing, and reporting, including driving the annual assessment process
    • Identify potential areas of compliance vulnerability and risk and lead projects relating to the enhancement of compliance procedures, policies and internal controls
    • Draft compliance procedures, document compliance findings, and maintain compliance logs
    • Manage external compliance vendors, including consulting firms, auditors, and software providers
    • Prepare regulatory filings (e.g., ADV, 13F, 13H, etc.) in conjunction with the Legal/Compliance team
    • Conduct compliance training and onboarding for new employees and provide ongoing education to existing employees
    • Perform and sign off on AML/KYC reviews of prospective clients
    • Understand regulatory requirements, stay informed of new developments, and help design and implement responsive compliance efforts
    • Assist with responding to regulatory inquiries and on-site examinations
    • Perform firm and fund administrative tasks such as maintaining LEIs, forming entities, and assisting with regulatory mailings
    • Assist with special projects as needed and work with various departments to complete compliance-related initiatives

    Qualifications

    • Bachelor's degree required
    • Minimum 6 years of financial services compliance experience with an SEC-registered investment adviser or SEC compliance consulting firm
    • Strong working knowledge of SEC rules and regulations applicable to investment advisory firms
    • Facility with compliance-related technologies and systems
    • Superior written and verbal communication skills, including experience in drafting short memos and/or compliance policies
    • Excellent interpersonal skills and ability to interact effectively and work diplomatically with individuals at all levels
    • High level of professionalism and discretion
    • Admirable work ethic and commitment to consistently delivering quality work product in a timely manner
    • Ability to manage and prioritize multiple tasks and navigate a fast-paced, team-oriented environment
    • Ability to identify opportunities for improvement and to facilitate the implementation of creative solutions and efficient systems
    • Ability to work independently, as well as an eagerness to take ownership of and effectively resolve problems
  • Conifer Revenue Cycle Solutions

    Value Based Care Compliance Manager

    1 week ago

    Conifer Revenue Cycle Solutions Dallas, United States

    **JOB SUMMARY** · The Compliance Manager contributes to Conifer Health's (Conifer) purpose by providing both strategic and day-to-day leadership to the compliance program designed to ensure Conifer fully complies with its Standards of Conduct and all applicable laws and regulatio ...

  • The CAR Group

    Compliance Manager

    1 day ago

    The CAR Group Dallas, United States

    Location: Dallas, TX (On Site) | Type: Full Time · The Compliance Manager will perform periodic audits of the organization's compliance efforts across its various operational domains, provide summary reports of the outcome of those audits to executive leadership, and will study o ...

  • SNI Companies

    Compliance Manager

    3 weeks ago

    SNI Companies Dallas, United States

    Job Description · SNI Financial has partnered with a prestigious investment firm in search of a Regulatory Compliance Manager to join it's growing team. The ideal candidate will have an finance or accounting degree with at least 4+ years of regulatory compliance experience within ...

  • IQ-EQ

    Manager - Compliance

    3 weeks ago

    IQ-EQ Dallas, United States

    Company Description · IQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regula ...

  • Conant Automotive Resources LLC

    Compliance Manager

    5 days ago

    Conant Automotive Resources LLC Dallas, United States

    Job Description · Job DescriptionLocation: Dallas, TX (On Site) | Type: Full Time · The Compliance Manager will perform periodic audits of the organization's compliance efforts across its various operational domains, provide summary reports of the outcome of those audits to execu ...

  • IQ-EQ

    Manager - Compliance

    2 weeks ago

    IQ-EQ Dallas, United States

    Job Description · Job DescriptionCompany Description · IQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administrati ...

  • Leeward Renewable Energy, LLC

    Regulatory Compliance Manager

    3 weeks ago

    Leeward Renewable Energy, LLC Dallas, United States

    Leeward Renewable Energy (LRE) is a high-growth renewable energy company that owns and operates a portfolio of 31 wind, solar and energy storage facilities across the United States, totaling approximately 3 gigawatts of generating capacity. We are actively developing new wind, so ...

  • Comerica

    Manager Compliance Advisory

    3 weeks ago

    Comerica Dallas, United States

    Manager Compliance Advisory Retail · The Retail Compliance Advisory Manager will provide guidance and direction to Retail line of business on the organization's Compliance program and serve as a trusted advisor to Retail leadership. · This individual will report directly to the D ...

  • Comerica

    Manager Compliance Advisory

    3 weeks ago

    Comerica Dallas, United States

    Manager Compliance Advisory Payments · The Payments Compliance Advisory Lead will provide guidance and direction to Payments lines of business on the organization's Compliance program and serve as a trusted advisor to Payments leadership. · This individual will report directly to ...

  • MoneyGram International Inc

    Compliance Analytics Manager

    1 week ago

    MoneyGram International Inc Dallas, United States

    Compliance Analytics Manager- Remote, USA · MoneyGram International, Inc. is revolutionizing the world of digital peer-to-peer payments With a purpose-driven strategy and a strong culture of fintech innovation, MoneyGram has connected over 150 million people in the last five year ...

  • Axis Energy Administration

    Risk & Compliance Manager

    3 weeks ago

    Axis Energy Administration Dallas, United States

    · The Risk & Compliance Manager ensures that the organization conducts its business processes in compliance with laws and regulations, professional standards, and accepted business practices and is responsible for managing the risk insurance programs that ensure that our company ...

  • Blue Yonder

    Ethics and Compliance Manager

    2 weeks ago

    Blue Yonder Dallas, United States

    Blue Yonder Job Title: · Manager, Ethics & Compliance · Location: · US- REMOTE · Overview · Blue Yonder is seeking an experienced and highly motivated Ethics and Compliance Manager to join our collaborative and high-functioning Legal team. The Ethics and Compliance Manager w ...

  • Pendrick Capital Partners Holdings

    Litigation Compliance Manager

    5 days ago

    Pendrick Capital Partners Holdings Dallas, United States

    Full-time · Description · The Litigation Compliance Manager be responsible for and involved in all aspects of furthering our collections legal process. In this role, you will be assisting in the recovery of outstanding balances of customers with outstanding debts. You will have ...

  • Atlas

    Compliance Manager 3

    1 week ago

    Atlas Dallas, United States Full time

    External Description · Atlas is hiring a LDAR Project Manager. The position will require travel and can be based in any city in the United States. Atlas is a nationwide leader in civil engineering, materials testing and geotechnical consulting services for environmental, industr ...

  • The Learning Experience - World Headquarters

    Operational Compliance Manager

    1 week ago

    The Learning Experience - World Headquarters Dallas, United States

    Job Description · Job DescriptionBenefits:Childcare Benefit · 401(k) · 401(k) matching · Company parties · Competitive salary · Dental insurance · Employee discounts · Health insurance · Opportunity for advancement · Paid time off · Training & development · Tuition assistance · V ...

  • Hana Group

    Franchise Compliance Manager

    1 week ago

    Hana Group Dallas, United States

    Job Description · Job DescriptionCompany Description · Hana Group is a multinational company leading sales in pan-Asian cuisine sold in grocery retailers and commerce marketplaces. The company has tailored brands providing custom collaborations to our partners and to our consumer ...

  • Axis Energy Services

    Risk & Compliance Manager

    4 days ago

    Axis Energy Services Dallas, United States Remote job Full time

    ***TO APPLY, VISIT OUR COMPANY WEBSITE: · Job Postings | Axis Energy Services ) · The Risk & Compliance Manager ensures that the organization conducts its business processes in compliance with laws and regulations, professional standards, and accepted business practices and is re ...

  • Trinity Industries, Inc.

    IT Governance, Risk, and Compliance Manager

    2 weeks ago

    Trinity Industries, Inc. Dallas, United States

    Trinity Industries is hiring an IT Governance, Risk, and Compliance Manager in our Dallas, TX office. · The IT Governance, Risk, and Compliance (IT GRC) Manager functions within the Information GRC (IGRC) team, reporting to the Senior Director of IGRC within the Information Risk ...

  • TrinityRail

    IT Governance, Risk, and Compliance Manager

    3 weeks ago

    TrinityRail Dallas, United States

    Trinity Industries is hiring an IT Governance, Risk, and Compliance Manager in our Dallas, TX office. · The IT Governance, Risk, and Compliance (IT GRC) Manager functions within the Information GRC (IGRC) team, reporting to the Senior Director of IGRC within the Information Risk ...

  • Trinity Structural Towers

    IT Governance, Risk, and Compliance Manager

    3 weeks ago

    Trinity Structural Towers Dallas, United States

    IT Governance, Risk, and Compliance Manager · Delivering Goods For The Good Of All - TrinityRail · While _TrinityRail_ has built one of the broadest and deepest railcar platforms in the world, it's what's inside our cars that counts. We are proud to manufacture, maintain, and ma ...