Compliance Officer

Compliance Officer

Standish Compliance Services LLC

(Dallas, TX)

Serve as part of firm’s client service teams and work with others to deliver exceptional compliance
services, with responsibility for 15 or more clients. Have extensive interaction with clients to develop a
deep knowledge of the client’s businesses and compliance programs. Provide compliance expertise and
high-touch, customized, and proactive compliance service to administer compliance program and ensure
compliance with applicable regulatory and compliance requirements. Conduct, prepare, draft, and deliver
compliance program monitoring and testing, annual compliance reviews, compliance manuals, risk
matrices, compliance training and guidance materials, and compliance program documentation. Analyze
and summarize new regulatory developments, develop and deliver compliance training tools, and
participle in client development activities. Assist in the preparation and review of regulatory filings,
including Form ADV, Form PF, Form D, Blue Sky Filings, Form 13F, Form 13H, Form 13D/G, and Form
N-PX, in coordination with Compliance Associates and Senior Compliance Associates. Support and
collaborate with team members on Code of Ethics administration and contribute to the effective use of
Code of Ethics reporting systems. Position is 100% remote; must reside in U.S.; reports to headquarters
in Dallas, TX. Salary: $64,771 - $95,000 per year.

MINIMUM REQUIREMENTS: Bachelor’s degree or U.S. equivalent in Finance, Economics, Accounting,
or a related field, plus 3 years of professional experience as a Compliance Associate, Compliance
Analyst, or any occupation/position/job title involving regulatory, compliance, and consulting in the
investment management and private fund industry.

Must also have experience in the following: 3 years of professional experience analyzing regulatory
requirements and ensuring compliance with the Investment Advisers Act and U.S. federal securities laws,
including Investment Company Act exemptions, and Regulation D private offering exemptions; 3 years of
professional experience within or adjacent to the private fund industry analyzing regulatory and
compliance requirements specifically for private fund managers; 3 years of professional experience
operationalizing compliance reporting systems, including the ability to implement and monitor new
systems as part of firm-wide compliance initiatives; 3 years of professional experience drafting and
reviewing compliance manuals, conducting review and testing of all aspects of private fund operations,
drafting annual compliance review reports, and providing compliance training and materials; 3 years of
professional experience working with regulatory filing systems, IARD, PFRD, EDGAR, and EFD and
preparing, reviewing, and filing Form ADV for investment advisers and Form PF for private funds, Form D
for private offerings, Section 13 beneficial ownership reporting, and relevant Blue Sky filings; 3 years of
professional experience utilizing a CRM or project management system as well as Microsoft applications
including Teams, Outlook, Word, Excel, and Power Point; 3 years of professional experience
administering, overseeing or reviewing a Code of Ethics as required under the Investment Advisers Act
and effective utilization of code of ethics reporting systems; and 3 years of professional experience
participating or leading client meetings, tracking and ensuring regulatory and other compliance deadlines
for 12 or more clients simultaneously, while completing multiple compliance tasks and meeting strict
deadlines.

CONTACT: Please submit resume online at: https://www.standishcompliance.com/careers; or via email to
samantha@standishmanagement.com Must specify job code RTSW

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