Compliance Analyst Placemark Investments
THIS JOB HAS EXPIRED Company
Placemark Investments (www.placemark.com) is a privately-held investment advisory firm
registered with the Securities and Exchange Commission. The Company has over 90 employees
located at offices in Dallas TX and Wellesley MA.
Placemark develops, implements and supports wealth solutions, including Unified Managed
Account platforms and retirement solutions for broker/dealers, registered investment advisors,
banks and family offices. As the separate account industry?s leading independent overlay
portfolio manager, Placemark coordinates multiple investment vehicles such as separately
managed accounts, mutual funds and ETFs into a single customized portfolio.
Placemark?s mission is to fundamentally change the way investment management services are
delivered to clients by fostering a more efficient operating model and delivering more
sophisticated investment strategies to meet a wider variety of client needs. We enable financial
advisors, sponsors and product providers (managers) to better collaborate in delivering superior
solutions to their clients. As a firm, Placemark seeks to promote an entrepreneurial culture
focused on integrity, innovation and adding real value.
You will assist Placemark?s Legal and Compliance team in complying with applicable laws and
regulations relating to the investment advisory industry, including the Investment Advisors Act
of 1940. Primary responsibilities will entail overseeing employee personal trading surveillance
and maintaining personal trading software. You will provide day-to-day support to employees
through guidance on and interpretations of regulatory matters, and insure that applicable policies
and procedures, including supervisory procedures and manuals, are comprehensive and current.
The Compliance Analyst will be expected to identify compliance issues and assist in devising
and implementing corrective action plans to improve performance outcomes. Related duties will
include managing legal documents (electronic and hard copy), maintaining contract management
software, and electronically submitting various regulatory filings. You will also conduct new hire
orientation training and perform other compliance-related tasks as assigned.
The successful candidate will have 2-3 years? experience in a regulatory, compliance or related
position, preferably within the investment advisory industry. You must have strong computer
skills including proficiency with Excel; knowledge and experience utilizing MS Access
databases and related software would be a plus. Experience with trade surveillance systems
would be a decided advantage, as would knowledge of investment options such as equities, fixed
income, separately managed accounts, mutual funds, ETFs and hedge funds.
Personal attributes will include well-developed critical thinking and problem-solving skills, a
detail and process orientation, and the ability to prioritize completing tasks in a highly-regulated,
fast-paced environment. You must be able to work effectively with internal business associates
across all levels and functional areas and have a strong customer service mindset.
Academic credentials will include a minimum of a bachelor?s degree in a related field.
Compensation & Benefits
Placemark offers a competitive salary and bonus opportunity. In addition, we provide a
comprehensive benefits package including medical, dental and vision insurance; life insurance,
AD&D and short-term disability insurance; three weeks? vacation; a 401(k) plan with company
match; free coffee and soft drinks and a casual dress environment.
||Dallas, TX |
THIS JOB HAS EXPIRED