CMB - Compliance Analyst (Dallas, TX)
Company: UP Management, LLC
Posted on: November 26, 2022
CMB Regional Centers is looking to fill the role of *Compliance
Analyst* in our *Dallas, TX *office.
As a Compliance Analyst for CMB Regional Centers and NHK Capital
Partners, this position is responsible for assisting the Compliance
Department in maintaining and monitoring the securities and other
regulatory compliance programs for both companies.
*Essential Job Functions*
* Ensures securities compliance by assisting in establishing
procedures for employees to follow so that each investment offering
complies with the securities laws.
* Assists in monitoring the day to day activities of employees for
compliance with securities laws.
* Prepares compliance reports for the Compliance Department.
* Prepares and files necessary securities filings under the
supervision of the General Counsel, including Form D and state
blue-sky filings for investment offerings.
* Collaborates with CMB's and NHK's placement agent in connection
with their due diligence and review of all investment
* Works with the project and legal teams to ensure all compliance
policies are updated and followed.
* Stays up to date on industry regulations and policies that impact
the business by reviewing regulatory bulletins, federal
updates/alerts, and other sources of information.
* Assists in the monitoring and review of marketing materials.
* Assists with other compliance programs as needed, including AML
*Knowledge, Skills, and Abilities*
* Financial industry knowledge and experience with SEC regulations
and other regulatory regimes
* Ability to work with and understand complex legal and regulatory
* Clear and concise written and verbal communication skills
* Excellent organizational and time management skills
* Analytical abilities and aptitude in problem solving
*Education and Experience*
* Bachelor's degree in finance, business, or a related field
* At least two years of experience working in a compliance setting,
preferably with experience in securities compliance
* Must be able to routinely lift 10 pounds, occasionally up to 25
pounds. Frequent sitting with some walking, bending, squatting,
kneeling, stooping and climbing will occur. Use of hands to reach
and feel. Reads, writes, speaks and hears.
Job Type: Full-time%58047475%
Keywords: UP Management, LLC, Dallas , CMB - Compliance Analyst (Dallas, TX), Professions , Dallas, Texas
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