Associate Compliance Officer

Westwood Holdings Group - Houston, TX

Full-time - Mid Level

Houston, TX

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

Responsible for assisting the CCO and Compliance Officer in managing and overseeing the firm's compliance programs including, drafting, implementing, monitoring and testing compliance policies and procedures; monitoring and testing trade compliance for firm trading; leading specific regulatory reporting processes; communicating and liaising with regulatory authorities; assisting with regulatory examination support; reviewing and editing communications materials; monitoring vendor due diligence; preparing internal and external compliance certifications; monitoring and enforcing employee personal trading under the Code of Ethics; coordinating with and managing outside compliance vendors and service providers; serving as employee reporting and certifications under the Code of Ethics.

Responsibilities

• Oversee employee personal trading in online compliance application, implement employee trading rules and restrictions in the compliance application.
• Assist the review process for compliance-related policies and procedures and assume lead role in the drafting, implementation, and oversight of compliance policies and procedures, programs, principles, and standards.
• Assist with the review of marketing materials, RFPs, and due diligence questionnaires for regulatory compliance.
• Compliance reporting for Client Service requests (monthly and quarterly reports).
• Assist with regulatory filings, including SEC, FINRA, and NFA/CFTC.
• Support regulatory examination responses including gathering documents and information, discussions and coordination with regulatory examination staff.
• Assist in the oversight and management of compliance vendors and services providers including MyCompliance Office or similar compliance software.
• Work with internal and external experts to identify risks, best practices, and expectations.
• Maintain compliance files and records, assist with audit and regulatory examination requests.
• Assist in client or vendor meetings and perform due diligence to ensure accuracy of departmental and/or firm updates.
• Assist with third-party vendor oversight.
• Manage and maintain compliance calendar.
• Manage and oversee vendor oversight and due diligence.

Requirements

• Bachelor's degree
• 5+ years of professional work experience functioning in a compliance capacity
• Experience reviewing laws and regulations, legal documents and contracts, and monitoring and drafting processes and procedures
• Preferred experience with SEC investment adviser and broker-dealer regulation; FINRA regulation; NFA regulation

Nice-to-haves

• CRCM preferred (Certified Regulatory Compliance Manager)
• CCEP preferred (Certified Compliance and Ethics Professional)
• Prior experience working in an investment advisory firm, investment bank or other financial services company strongly preferred.
• Proficient with the Microsoft Suite of products including Outlook, Word, Excel, PowerPoint and SharePoint.
• Knowledge of compliance related systems including Bloomberg, Schwab Compliance Technologies (online employee compliance monitoring), Global Relay (email archive system) or similar applications.

Benefits

• Competitive salary, benefits and 401K company match that vests immediately upon participation.
• Parental leave & PTO policy.
• Collaborative, dynamic work environment with a fast-paced, mission driven company.