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Hudson Advisors

Manager, Compliance

Hudson Advisors - Dallas, TX

Position Summary:



This position assists with management of the Compliance Program and projects as assigned by the Compliance Officer to help Hudson and its affiliates maintain compliance with federal, state and foreign financial industry laws and regulations.  The position involves the review and tracking of marketing materials and other communications, researching and maintaining regulatory registrations in the U.S. and in other jurisdictions and assisting with regulatory filings for U.S. entities and other entities globally.



 



Essential Functions:



 





  • Interpret and apply financial industry laws and regulations including the Investment Advisers Act as well as the Adviser’s compliance policies.


  • Review and track marketing materials and other communications


  • Research regulatory registration requirements in the U.S. and abroad for various types of business conducted by Hudson or Lone Star or their affiliates


  • Assist with various global regulatory filings and exemptions


  • Assist with compliance risk assessment


  • Assist with coordinating internal inspections and regulatory examinations as required.


  • Provide reporting on compliance programs and risks to the Compliance Officers and the CCO.


  • Other program or project responsibilities as assigned by the Compliance Officer.




 



Required Knowledge, Skills and Abilities:





  • Experience with the review of marketing materials and other communications


  • Working knowledge of laws and regulations applicable to the marketing of private funds and investment advisers


  • High capacity for strategic thought and the ability to creatively solve complex business problems.


  • Strong quantitative and qualitative analytical skills.


  • Excellent research skills.


  • Excellent verbal and written communication skills and the ability to interact professionally with a diverse group of managers and subject matter experts.


  • The ability to adapt to a rapidly changing regulatory and business environment.


  • The ability to work independently and operate effectively in a cross-functional environment.


  • Demonstrated ability to prioritize work and manage time in a deadline-driven environment.




Education:





  • Bachelor’s Degree.




 



Experience:





  • 6-8 years of experience in the financial services industry, preferably in a compliance role with an investment adviser or broker-dealer, or with a compliance consulting firm.




 



Other Skills:



 





  • Proficiency in Word, Excel, Outlook, and PowerPoint (Microsoft Office Suite).


  • Intermediate Excel knowledge, including ability to review data and the formulas and sources behind the data.




 



Work Environment:



 





  • This job operates in a professional office environment.


  • This position’s hours vary depending on business activity, but are generally 40 or more hours per week.




 



Travel Requirements:





  • This positon does not require frequent travel, less than 10%.  Travel would be domestic.




 



Desired Organizational Competencies:





  • Accountability - Demonstrates a commitment to and responsibility for accomplishing individual, team and business objectives


  • Drive - Consistently achieves challenging goals/objectives, and demonstrates an ability to create value and maximize results


  • Planning - Identifies business needs, problems and risks proactively, and develops well founded plans that specify strategies, actions/solutions, risk mitigants and desired results


  • Critical Thinking / Judgment - Commits to an action after developing alternative solutions that are based on logical assumptions and factual information and that take into consideration resources risks and organizational values


  • Adaptability - Exhibits the capacity to successfully change and evolve one’s actions, opinions and behavior as a result of changing priorities or environment


  • Communication Skills - Proactively communicates in the appropriate medium with clarity and focus at the right level to ensure delivery has the appropriate impact


  • Influential Leadership - Leads with confidence and conviction, and is able to establish credibility, trust, and respect among team members


  • Team Work - Fosters collaboration among team members and business partners, and uses capabilities to achieve team goals




15 days 8 hours ago

Hudson Advisors

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Please review all application instructions before applying.

Location: Dallas, TX