Manager, Compliance (Dallas)

Accretive Solutions’ Executive Search Practice, now a part of RGP, has been engaged by an excellent global asset management company to recruit a Manager, Compliance to join their team, located in Dallas. Candidate must have a Bachelor’s degree and 6-8 years’ compliance experience in private equity, a broker-dealer, or a compliance consulting firm. Compliance management experience is a plus. The company is growing, has a great culture, beautiful office, and outstanding benefits. Also the position offers good work/life balance. Salary range $90-110K + bonus. Only local candidates will be considered.


This position assists with management of the Compliance Program and projects as assigned by the Compliance Officer to help company 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 company 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.

• Bachelor’s Degree.

• 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.

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


If you, or someone you know, meet these requirements and are interested in learning more about this exciting career opportunity, please contact Jennifer Weiss at and include an updated resume/CV.

Corporate Statement: 

On December 4th, 2017, Accretive Solutions was acquired by RGP. This job is an RGP position.

RGP is a professional services firm dedicated to providing people and perspectives to solve business challenges. As a provider of high-value, on-demand solutions aimed at our client’s most critical initiatives, we live and work within our clients' countries, cultures and languages, helping local business leaders and their global operating teams attain strategic objectives.

With experience across many disciplines including, finance and accounting, information management, human capital, supply chain management, legal and internal audit, we help companies address complex situations on the inside of business. Working alongside the client team, we solve problems, execute, and transfer knowledge. In other words, we help get the internal work done, while building the team's capability to change and operate in brand new ways.

RGP was founded in 1996 within a Big Four accounting firm. Today, RGP is a publicly traded company. Including the operations of Accretive, RGP employs over 3,700 professionals, annually serving over 2,600 clients around the world from 76 practice offices.

Job Date: 

Sun, 01/14/2018 - 22:00

Job Types: 


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