Compliance Officer (Finance)

TL;DR

Compliance Officer (Finance): Monitoring employee compliance with the Code of Ethics and trading policies with an accent on personal account dealing, outside business activities, and political contributions. Focus on conducting investigations, reviewing pre-clearance requests via Star Compliance, and leveraging AI to streamline monitoring processes.

Location: Hybrid (Houston, Texas) - must spend at least four full days each week in the office.

Company

One of the world’s leading independent global investment firms dedicated to delivering diverse investment strategies to clients worldwide.

What you will do

• Educate North American employees on personal trading, outside business activities, and political contributions.
• Monitor the completion of required reports, including holdings and transaction reports.
• Review and determine approval for personal trading pre-clearance requests using Star Compliance.
• Perform post-trade monitoring to verify adherence to trading policies.
• Investigate violations of the Code of Ethics and issue letters of education.

Requirements

• Bachelor’s degree or equivalent.
• Must be based in Houston, Texas to comply with the 4-day-per-week office requirement.
• Strong analytical skills for making critical, time-sensitive decisions.
• Knowledge of financial services markets and compliance.
• Ability to use systems and AI to enhance compliance monitoring.

Culture & Benefits

• Hybrid work schedule (4 days in office).
• 100% 401(k) matching up to 6% plus discretionary contributions.
• Flexible paid time off.
• Comprehensive health, wellbeing, and parental leave benefits.
• Employee stock purchase plan.