Senior Compliance Associate (Asset Management)

Barrow Hanley Global Investors•Dallas, TX

About The Position

The Sr. Compliance Associate is a highly visible role, responsible for providing support to the Chief Compliance Officer (CCO) in the oversight of the compliance program for Barrow Hanley, providing guidance to the firm’s employees at all levels about the compliance program, and providing service to clients’ and parent company’s compliance teams. This position supports the CCO in the development, implementation, and maintenance of policies and procedures designed to mitigate the risk of Barrow Hanley violating legal, regulatory, or firm policies, and the identification, analysis, and resolution of issues surfaced by business, compliance teams, auditors, and regulators. This role on the team will specifically relate to the Regulatory Compliance function but will also have a wide range of compliance exposure.

Requirements

Bachelor’s Degree plus 5+ years of compliance management experience with an SEC-registered Investment Advisor or Investment Company.
Extensive knowledge of the financial services industry including, asset management, registered investment company/mutual funds, Private Funds, Trusts, ERISA, UCITS, and associated risks.
Demonstrate knowledge of global markets and applicable securities regulations including, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities and Exchange Act of 1934, and non-U.S. securities regulations, and the ability to analyze and identify the application of existing and proposed regulations and compliance issues in both U.S. and foreign markets as they relate to investment management and marketing.
Demonstrate ability to read, understand, and interpret regulatory language, possess strong analytical skills, independent and critical thinking, and sound judgment.
Ability to understand complex technical systems and the business processes they support, synthesize the corresponding data, associated risks and controls, and recommend adjustments.
Proficiency with CRIMS, Salesforce, EdgarNext, FactSet, Bloomberg, or ability to learn and adapt to business applications.
Demonstrate leadership and diplomatic skills through ownership of issues seen through resolution, providing sound guidance to others, and positively influencing organizational culture.
Ability to demonstrate a professional, pleasant demeaner with co-workers, remain calm in moments of pressure, safeguard confidential information, prioritize tasks, juggle multiple tasks at once, meet deadlines, tailor communications to effectively fit and influence the targeted audience, and politely explain regulatory or policy requirements.
Ability to work independently, self-starter, attention to details, intellectual curiosity to learn new things, solve problems, and provide support to the business.
Strong work ethic, high attention to detail and accuracy.
This job is not eligible for visa sponsorship

Nice To Haves

IACCP designation preferred, but not required.

Responsibilities

Manage compliance with and meet deadlines to fulfill assigned SEC, state, federal, foreign country, and/or other applicable regulatory filings and requirements.
Support investment selection and implementation / trading by managing Charles River (CRIMS) rules library and monitoring daily trading and nightly batch reviews of clients’ guidelines and restrictions.
Responsible for client relations/support with compliance staff of assigned clients, manage and complete 15(c) and DDQ reports with supporting documentation and other compliance certifications/reports, schedule and meet deadlines for client reporting, and manage ad hoc requests from clients and co-workers.
Conduct compliance reviews of advertising material produced by Client Development/Marketing teams.
Support and maintain Barrow Hanley’s Compliance Policies & Procedures Manual, Code of Ethics and Conduct, and Affiliate Level Risk Policies.
Support annual compliance program review, including conducting forensic tests of the firm’s internal control on a scheduled, ad hoc, and issue-based basis to support the firm’s overall risk management program.
Manage the firm’s SOC 1 Type 2 Internal Controls Audit
Support the firm’s three lines of accountability risk management strategy in coordination with the parent company.
Support the CCO by performing internal compliance reviews and monitoring activities, including periodic reviews of business units’ policies, procedures, and processes.
Support the CCO with confidential investigations and acting on matters related to compliance.
Monitor and review reporting systems and employees’ actions required by the firm’s internal control policies and securities regulations.
Conduct compliance tests and/or reviews as directed by the CCO, identify discrepancies, and support the business from a technical perspective in developing appropriate remedial actions.
Work closely with co-workers to provide training on the firm’s policies and use of the firm’s systems for monitoring and reporting activities.
Engage with and be a resource to co-workers at all levels on the firm’s internal control policies and their application and effective implementation to the business.
Support the development and implementation of new technology adopted by Barrow Hanley to ensure compliance is built into the use of these systems.
Elevate compliance matters to the CCO.
Maintain knowledge of current applicable regulatory requirements.
Provide sound technical support on the complex interpretation and understanding of new regulations and policy (including supporting documents and systems) requirements.