Job Information
Robert Half SEC Compliance Manager/Director in Houston, Texas
Description
Exciting opportunity to join a growing Private Equity firm in Houston! Must have Financial Services and SEC Regulation experience. The Compliance Manager is responsible for developing, implementing, and managing compliance programs within the organization. They ensure that all activities and operations are in compliance with applicable laws, regulations (including SEC regulations), and industry standards. The Compliance Manager works closely with various departments to identify and mitigate compliance risks.
Compliance Manager Responsibilities:
Compliance Program Development: Develop and maintain compliance programs and policies to ensure adherence to all relevant laws, regulations, and standards.
Risk Assessment: Conduct regular risk assessments to identify compliance risks and develop strategies to address them.
Monitoring and Reporting: Monitor compliance with established policies and regulations and prepare regular reports for senior management and regulatory bodies.
Training and Education: Provide training and educational programs to employees to promote compliance awareness and understanding.
Investigations: Investigate compliance violations and breaches and develop corrective action plans as necessary.
Policy Implementation: Work with various departments to ensure that compliance policies and procedures are effectively implemented and followed.
Audits and Testing: Conduct compliance audits and testing to identify weaknesses and areas for improvement.
Documentation: Maintain comprehensive records of compliance activities, reports, and investigations.
Regulatory Liaison: Serve as the primary point of contact for regulatory agencies and manage all interactions and communications with them.
Compliance Technology: Implement and manage compliance technology solutions to streamline compliance processes and improve efficiency.
Requirements
Compliance Manager Requirements:
• Bachelor's degree from a competitive institution. A master's degree or relevant certifications (e.g., compliance certification) is a plus.
• Several years (minimum of three years) of experience in compliance management, preferably in the financial services industry. Private equity industry experience is preferred.
• Strong knowledge of relevant laws, SEC regulations, and industry standards.
• Excellent communication and interpersonal skills to collaborate with different departments and communicate with regulatory authorities.
• Analytical and problem-solving skills to identify compliance risks and develop appropriate solutions.
• Attention to detail and the ability to maintain accurate records.
• Strong organizational skills and the ability to manage multiple projects simultaneously.
• Integrity and a commitment to upholding ethical and legal standards.
Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.
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All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.
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