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Confidential
Austin, TX, United States
Deputy Chief Compliance Officer About the Company Reputable local financial services provider Industry Financial Services Type Privately Held About the Role The Deputy Chief Compliance Officer will be responsible for overseeing and directing the organization's regulatory filings as well as developing comprehensive compliance training programs. Tr
Job Source: ConfidentialStonecrest Partners
Austin, TX, United States
Managing Director of Compliance or Chief Compliance Officer Stonecrest Partners is a rapidly growing financial services firm based in Austin, Texas and San Juan, Puerto Rico. We have additional associates in New York City, New Jersey, Florida and Latin America. Our multiple business lines include Institutional Fixed-Income Sales and Trading, Retai
Job Source: Stonecrest PartnersAdvanced Pain Care
Austin
Job Description Job Description Description: Providing accurate, relevant and timely advice to your employer and other members of staff on a variety of legal topics that relate to the business sector and its services. Preparing, reviewing and negotiating company contracts, requests for proposals and other legal documents. Managing and mitigating
Job Source: Advanced Pain CareHCA Healthcare
Austin, TX, United States
Description This position is incentive eligible. Introduction Executives thrive with us! HCA Healthcare is one of the nation’s leading providers of healthcare services, comprising of over 180 hospitals and about 2,000 sites of care in 21 states and the United Kingdom. We are looking for an Assistant Chief Financial Officer (ACFO) for our Centra
Job Source: HCA HealthcareThe Walt Disney Company
Austin, TX, United States
The Walt Disney Company Chief Officer Austin , Texas Apply Now Every day at Disney Cruise Line we take pride in bringing the magic of Disney to life. We find joy in creating cherished memories and form genuine connections with our guests. We hold each other to the highest degree and always act responsibly while ensuring the safety o
Job Source: The Walt Disney CompanyThe Reserves Network Inc
Austin
Job Description Job Description A Compliance Officer is needed to fill a new position for a well-respected client headquartered in Texas. Apply today to take advantage of this unique and exciting opportunity! WHAT IS GREAT ABOUT THIS OPPORTUNITY? Lead and shape the Compliance Program for a prominent hospital, influencing the organization
Job Source: The Reserves Network IncPrime Therapeutics
Austin
Our work matters. We help people get the medicine they need to feel better and live well. We do not lose sight of that. It fuels our passion and drives every decision we make. **Job Posting Title** Managing Legal Counsel - Remote **Job Description** The Managing Legal Counsel provides tactical and strategic legal advice to internal clients, typical
Job Source: Prime TherapeuticsConfidential
Austin, TX, United States
Chief Financial Officer & Chief Operating Officer About the Company Prominent professional services organization Industry Consumer Services Type Privately Held About the Role The Company is seeking a Chief Financial Officer & Chief Operating Officer to join a high-priority industry known for its cutting-edge innovation and profound societal impac
Job Source: ConfidentialAustin, TX, United States
As the Chief ComplianceOfficer, you will be responsible for developing, implementing, and overseeingthe company's compliance program. You will work closely with variousdepartments to identify and mitigate compliance risks, ensuring that theorganization operates within the boundaries of applicable laws andregulations.
As Assistant GeneralCounsel, you will also provide real-time advice and support on a wide range oflegal matters, including fund formation, transaction negotiation, corporatesecretarial duties and general legal matters.
MAIN RESPONSIBILITIES AND DUTIES
Lead SALI’s compliance program to ensure adherence to state, federal and international laws that pertain to SALI’s business and industry best practice.
Lead responses to regulatory inquiries, audits, examinations, and investigations, and liaising with regulators (SEC, CFTC & NFA), including working with outside counsel as needed.
Oversee AML risk management practices, ensure timely and accurate regulatory reporting requirements.
Ensure that professional standards, accepted business practices, and internal systems of control necessary to achieve compliance with the external rules are followed.
Review and educate internal stakeholders on regulatory developments and engage in advocacy and industry discussions.
Establish and implement monitoring systems to detect and prevent compliance breaches.
Stay informed about changes in financial laws, regulations, and industry guidelines.
Prepare regular reports for executive leadership and regulatory bodies on compliance matters.
Lead internal investigations in response to compliance concerns or allegations.
Serve as a point of escalation for resolution of compliance- and process-related questions arising from the review and approval of fund investor communications.
Assist GeneralCounsel in advising the business on existing investors’ legal andcompliance-related requests.
Assist inongoing legal aspects of operating existing investment funds, includingreview of contractual provisions, preparing amendments, and updating andrevising of investment vehicles’ offering materials, negotiating accountdocuments and general transactional matters.
Collaborate with other departments, to ensure that compliance issues are identified and addressed.
Collaborate with legal and HR departments as needed.
Implement corrective actions based on audit findings.
ESSENTIAL REQUIREMENTS
Juris Doctor (JD) Degree.
Minimum of 10 years of experience in private funds and separate managed accounts.
A deep understanding of financial products and SEC and CFTC regulations, including the Investment Advisers Act of 1940.
Securities Act of 1933, and the Securities Exchange Act of 1934, the Commodity Exchange Act of 1936.
Experience with SEC and NFA examinations.
Top-notch analytical, communication, and leadership skills.
Prior experience in-house with an RIA/CPO is preferred, but not required.
Transactional experience with syndicated loans, derivatives and prime brokerage is a plus.
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Chief Compliance Officer / Assistant General Counsel - Legal jobs in Austin, TX, United States
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