Job Description

Leading investment management firm is looking for a compliance professional to join their growing team in Houston, Texas. Official job title will be based on seniority.

This candidate will work directly under the firms Chief Compliance Officer with high visibility to other senior management members.

Key Responsibilities

• Assist with filings and program oversight under the Investment Advisers Act of 1940 and Investment Company Act of 1940.
• Monitor compliance with SEC rules, state law (e.g., California lender licenses), and firm policies.
• Support onboarding, brokerage account tracking, and code of ethics certifications using compliance software.
• Conduct compliance testing (e.g., expense allocations, political contributions, electronic communications).
• Coordinate quarterly certifications and recurring compliance tasks.
• Track diligence and ensure timely follow-up and process execution.
• Contribute to broader compliance initiatives and cross-functional projects.

Working module: 5 days on-site (not negotiable).

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