Compliance Associate (Officer) Job at Alexander Chapman, Houston, TX

aWVOWWZtUzhXZjhFeVM4U3I0UzJWcTFsMmc9PQ==
  • Alexander Chapman
  • Houston, TX

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).

Job Tags

Similar Jobs

PTR Global

Business Logistics Coordinator - IV Job at PTR Global

 ...~Proven ability to organize conflicting priorities and optimize customer impacting solutions.~Proficient with MS Word and Excel, Slack, Point of Sale systemsDesired Skills:~Strong analytical and technical skills.~Strong verbal and written communication skills... 

Freeland Management

Outboard Marine Technician Job at Freeland Management

Looking for a Outboard Marine Technician to join our team at Moss Marina. The environment for this position is a growing marina with growing boat sales and desire to increase our service business. We are looking for an experienced individual with Mercury, Yamaha, Evinrude... 

JobSquad Staffing South Florida

Warehouse Responsible and Delivery Job at JobSquad Staffing South Florida

 ...JobSquad is assisting one of our clients that has an immediate need for a Warehouse Manager. The ideal candidate will be responsible for managing warehouse operations. These operations include shipping, inventory, delivery. Your goal will be to increase operational efficiency... 

Elecnor Belco

Administrative Assistant Job at Elecnor Belco

 ...Are you a detail-oriented professional looking to make an impact in a dynamic work environment? Were seeking an Administrative Assistant to support our operations by managing key administrative tasks, ensuring labor compliance, and assisting the accounting... 

Blue Signal Search

Journeyman Electrician - Residential Projects Job at Blue Signal Search

 ...Journeyman Electrician Residential Projects Greater Dallas, TX Area An established and fast-growing electrical services company is seeking a skilled Journeyman Electrician to support residential projects throughout the Dallas metro area. This role is perfect for...