The Senior Compliance Professional reports to the CCO and is integral to the firm’s compliance program with corporate and portfolio compliance responsibilities. This individual will work with the firm’s CCO in the firm’s sole office in Houston, Texas to ensure that GH&A is in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being following, that the firm’s Code of Ethics is adhered to by all personnel, and other related duties as needed to enhance the firm’s culture of compliance.
*Conducting and documenting tests of established policies and procedures
*Reviewing new client investment guidelines as well as updated client guidelines for entry in the firm’s order management/ investment compliance system (Northpoint OMS)
*Reviewing advertising, presentations, due diligence materials, RFPs and other firm communications for compliance with regulatory guidelines and industry standards such as the Global Investment Performance Standards (GIPS)
*Conducting email surveillance using SMARSH email review and archiving system
*Developing presentations and other materials for adhoc and annual employee training
*Updating policies and procedures in compliance manual, Code of Ethics, Form ADV, and others
*Review and preparation of regulatory filings required for firms registered with the SEC under the Investment Advisers Act of 1940 such as Form ADV Parts 1A, 2A and 2B
*Participate in preparations and reviews of inquiries and audits from regulatory authorities
*Maintaining automated compliance system used for oversight of Code of Ethics compliance, including attestations for personal trading, political contributions, and outside interests; compliance calendar of regulatory deadlines and compliance tasks; as well as ongoing oversight of vendors and third-party service providers
*Monitoring and preparing summaries of regulatory developments that impact the firm
A Bachelor’s degree, along with 5-10+ years of hands on regulatory compliance and operations experience in the investment management industry is required. Recent experience with institutional clients preferred. Strong knowledge and understanding of the Investment Advisers Act of 1940, ERISA, Dodd-Frank and other relevant regulations and laws. Self-motivated, confident, and able to garner the respect of others. Excellent communication skills, both written and verbal, and an ability to interact with all levels of management and staff throughout the firm. Highly organized and attentive to detail with excellent problem-solving skills. Highest standards of personal and professional ethics and integrity. Working knowledge of Microsoft Office Suite programs. Familiarity with ACM automated compliance software a plus.
Additional Salary Information: In addition to a professional work environment, we offer a competitive salary, bonus potential based on individual and firm performance, excellent employee benefits including 401k matching, and paid vacation. GH&A is an equal opportunity employer.
About Garcia Hamilton & Associates, L.P.
Garcia Hamilton & Associates (GHA) is a $13+ billion money management firm with 31 employees located in downtown Houston. The firm manages high quality fixed income assets for institutional clients.