Compliance, Asset Management (“AM”) Compliance, Associate, Dallas (Asset Management)

Location: Dallas, TX, United States; office-based role

Company

hirify.global is a global investment banking, securities, and investment management firm founded in 1869, with offices around the world.

What you will do

• Provide compliance oversight and practical guidance for the development, review, approval, and use of asset management marketing materials and communications.
• Review content describing or promoting asset management products, services, and investment capabilities.
• Analyze laws, regulations, and regulatory expectations for investment adviser advertising, fund marketing, and related communications in the United States and abroad.
• Advise on marketing channels, campaigns, content formats, compliance controls, and escalation processes.
• Develop compliance policies, procedures, and training for marketing activities.
• Perform monitoring, testing, surveillance reviews, regulatory examinations, audits, inquiries, and remediation coordination.

Requirements

• Bachelor’s degree required; JD or MBA is an advantage.
• 3+ years of experience in Compliance, Legal, Regulatory, or financial services.
• Experience with advertising or marketing compliance in asset management or another regulated financial services business is preferred.
• Working knowledge of regulations applicable to investment advisers, registered investment companies, broker-dealers, and investment product marketing is preferred.
• Strong written and oral communication, judgment, organization, attention to detail, project management, and relationship-building skills.
• Ability to analyze complex regulatory requirements, develop risk-based solutions, manage multiple priorities, and collaborate across business and control-function teams.

Culture & Benefits

• Collaboration with Marketing, Compliance, Legal, Operations, Engineering, Internal Audit, and other control functions.
• Training and development opportunities, firmwide networks, wellness programs, and personal finance offerings.
• Commitment to diversity, inclusion, professional growth, and reasonable accommodations during recruitment.