Full-Time

SEC Compliance Analyst

Confirmed live in the last 24 hours

Tolleson Wealth Management

Tolleson Wealth Management

201-500 employees

Multi-family office providing wealth management services

Social Impact
Financial Services

Mid

No H1B Sponsorship

Dallas, TX, USA

Category
Risk Management
Finance & Banking
Required Skills
Word/Pages/Docs
Excel/Numbers/Sheets
PowerPoint/Keynote/Slides

You match the following Tolleson Wealth Management's candidate preferences

Employers are more likely to interview you if you match these preferences:

Degree
Experience
Requirements
  • Knowledge and technical expertise with the Investment Advisers Act of 1940 required
  • 3 or more years of experience working in RIA compliance
  • Bachelor’s degree in business, finance, or relevant field
  • Proficient in Microsoft Suite (Excel, PowerPoint, Word, Outlook)
  • Excellent analytical, organizational and problem-solving skills
  • Superior attention to detail, excellent verbal and written communication skills
  • Strong team player with demonstratable thoroughness and ability to work independently and collaborate across teams when needed
  • Must consent to and have favorable consumer report and background check
  • Ability to maintain extreme confidentiality
Responsibilities
  • Assist Compliance Director with the administration of the Securities and Exchange Commission (SEC) investment adviser compliance program
  • Provide support to Compliance Director with the on-going monitoring, reporting and testing of the SEC Compliance program to make modifications that will prevent, detect and correct securities laws violations and mitigate risks to the firm. Assist with drafting and amending policies and procedures to reflect the current business practices of the firm and the rules that govern them
  • Conduct weekly email reviews to ensure compliance with the Books and Records Rule 204-2(a)(7)
  • Prepare and submit initial and annual registration paperwork through IARD for the Investment Advisory firm and individual registered advisory representatives
  • Work closely with Tolleson’s marketing department to review marketing materials and other firm deliverables for compliance with regulatory requirements
  • Support the administration of the firm’s Code of Ethics through automated compliance monitoring system. This includes monitoring employee personal trading, new hire compliance documentation and quarterly and annual Code of Ethics reporting
  • Assist with firm regulatory filings and annual Surprise Custody Exam
  • Ensure compliance with regulations and controls by conducting research of various rules, reviewing risk alerts and other compliance publications and participating in industry conferences and webinars
  • Coordinate, prepare and take minutes for all Compliance Meetings
  • Other duties as assigned by management
Desired Qualifications
  • Previous experience with CRM and Schwab Compliance Technologies is a plus
Tolleson Wealth Management

Tolleson Wealth Management

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Tolleson Wealth Management provides a variety of wealth management services tailored for affluent families. Their offerings include investment management, trustee services, philanthropy, and private banking, all designed to simplify the financial lives of their clients while aligning with their family values. The company fosters a collaborative work environment where team members are encouraged to support each other and focus on the well-being of both clients and colleagues. Unlike many other wealth management firms, Tolleson emphasizes a personalized approach, serving a select group of clients to ensure dedicated attention and service. The goal of Tolleson Wealth Management is to help clients navigate their financial journeys while reflecting their unique values and priorities.

Company Stage

N/A

Total Funding

N/A

Headquarters

Dallas, Texas

Founded

2000

Simplify Jobs

Simplify's Take

What believers are saying

  • Tolleson's investment in Alphabet Inc. showcases strategic growth in tech sectors.
  • Recognition as a top wealth manager enhances Tolleson's industry reputation.
  • Community partnerships and philanthropy strengthen client relationships and brand image.

What critics are saying

  • Robo-advisors pose a threat with low-cost solutions for tech-savvy clients.
  • ESG investing trends may pressure Tolleson to adapt its strategies.
  • Regulatory scrutiny could impact Tolleson's operations and fiduciary responsibilities.

What makes Tolleson Wealth Management unique

  • Tolleson offers bespoke wealth management services tailored to high-net-worth families.
  • The firm emphasizes philanthropy, aligning with clients' family values and community engagement.
  • Tolleson integrates technology in wealth management, winning awards for innovation.

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