Senior Compliance Officer (Fintech)

TL;DR

Senior Compliance Officer (Fintech): Monitoring employee compliance with the Code of Ethics and Personal Trading Policy with an accent on conflict of interest mitigation and regulatory adherence. Focus on conducting investigations of conduct violations and leveraging systems like Star Compliance to streamline monitoring.

Location: Hybrid in Houston, Texas (requires spending at least four full days per week in the office)

Company

One of the world’s leading independent global investment firms dedicated to providing a wide range of investment strategies and vehicles to clients worldwide.

What you will do

• Educate North American employees on personal trading, outside business activities, and gifts and entertainment policies.
• Coordinate and support small- to mid-sized compliance projects, ensuring stakeholder alignment and timely delivery.
• Monitor the completion of policy-required reports, including brokerage account listings and transaction reports.
• Review personal trading pre-clearance requests using the Star Compliance system.
• Perform post-trade monitoring of securities transactions to verify policy compliance.
• Conduct investigations into ethics and trading policy violations and issue letters of education.

Requirements

• Bachelor’s degree or equivalent.
• Strong analytical skills for making critical, time-sensitive decisions.
• Interest in compliance and financial services markets.
• Digital acumen to leverage emerging technologies, including AI, to streamline compliance operations.
• Excellent organizational skills and the ability to manage competing priorities.
• Must be based in or able to work from the Houston, Texas office.

Culture & Benefits

• Hybrid work schedule.
• Flexible paid time off.
• 401(K) matching of 100% up to the first 6% with discretionary supplemental contributions.
• Comprehensive health and wellbeing benefits.
• Parental leave benefits.
• Employee stock purchase plan.