We are seeking an experienced compliance professional who is passionate about coaching our clients towards clarity, confidence, and efficiency in meeting and exceeding their regulatory compliance obligations as a registered investment adviser. Successful candidates will empathize with the budding entrepreneur and demonstrate the core values that we hold in high regard, and demand of our colleagues – exercising sound judgment, bringing intense passion, setting out to win every day, making a substantial impact, and driving continuous improvement.
Understand the business of registered investment advisers (RIAs) including the operations, technology, and regulatory compliance issues they face;
Consult with our clients’ operations, technology, and regulatory compliance personnel to provide practical guidance in resolving their knowledge and procedural gaps as they create, maintain, and enhance their compliance programs;
Contribute practical investment adviser regulatory compliance content in the form of continually revised and expanded deliverables and resources, to be utilized both internally and externally;
Utilize a comprehensive understanding of MarketCounsel’s and its affiliates’ service offerings to serve as a resource for current and prospective clients;
Serve as a resource to internal regulatory, business, and litigation counsel to address the member firm experience and perspective, offering suggestions for improvement and enhanced utilization of related resources;
Identify opportunities to create scalable solutions across a broader internal and external client base by leveraging resources, tools, and guidance created in response to unique client situations;
Assess and support the maintenance of clients’ investment adviser regulatory compliance programs through coaching on and testing of current related policies and procedures;
Adhere to deadlines and project plans;
Maintain and grow existing client relationships;
Participate, as requested, in new business consultations and new program development initiatives;
Maintain an advanced knowledge of industry current events and ongoing developments by reviewing publications and publishing summaries;
Practice confidentiality, respecting the extremely sensitive nature of the information shared with our firm;
Perform additional tasks and projects, as assigned;
Travel as the firm deems necessary; and
Conduct yourself with unwavering integrity and professional responsibility.
Significant experience with operations, technology, and regulatory compliance for registered investment advisers (RIAs);
Knowledge of regulatory structures within the securities industry;
Thoughtful and deliberate consideration of all assets and challenges presented, in addition to exploring and identifying those not overtly shared;
Analysis and mapping of all compiled factors to available resources, arriving at a comprehensive solution for enhancing the accuracy and efficiency of each client’s regulatory compliance program;
Production of guidance and deliverables in an efficient manner, and on a timely basis;
High levels of enthusiasm in communicating with a large and varied client base;
Advanced verbal and written communication capabilities;
Intuitive comfort with advanced office technology; and
Passion to continually meet and exceed the needs and expectations of clients and colleagues.
MarketCounsel is the leading business and regulatory compliance consulting firm to the country’s preeminent entrepreneurial investment advisors. We deliver comprehensive and sound, yet business-savvy, regulatory compliance solutions. At MarketCounsel, you will discover an impressive roster of seasoned compliance professionals paired with state-of-the-art technology to meet, anticipate, and exceed... the exacting needs of our clients. From the startup of an investment advisor through our time-tested RIA Incubator program, to the outsourced compliance department capabilities of our RIA Institute, MarketCounsel’s service platform consistently delivers on the promise of trusted counsel within the wrapper of extraordinary service.
Formed in 1974, the Independent Bankers Association of Texas (IBAT) represents Texas community banks. The Austin-based group is the largest state community banking organization in the nation, with membership comprised of more than 2,000 banks and branches in 700 Texas communities. Providing safe and responsible financial services to all Texans, IBAT member bank assets range in size from $10 million to $20 billion with combined assets statewide of nearly $165 billion. IBAT member banks are committed to supporting and investing in their local communities.