AVP, Regulatory Compliance

Austin, Texas, United States · Compliance · CP2019003


As a member of the Compliance Department and a recognized leader across the organization, the successful candidate will assist the firm in mitigating risk and achieving a high level of compliance with industry regulations & company policy. The Assistant Vice President will oversee regulatory requests and examinations, coordinate the complaint response process, and manage the Investigations team. This senior compliance position will serve as a primary compliance authority, and work closely with compliance, operations, and business unit leaders to ensure that the firm complies with applicable regulatory laws and regulations. This position reports to the VP, Investment Advisory Compliance.

To perform this job successfully, individual must be able to execute each essential duty satisfactorily.

The Assistant Vice President should be able to:



A brand new state of the art building in Southwest Austin with a basketball court, volleyball court, baseball field, walking trails, unlimited coffee, tea, and sparkling water.

Full health, vision, dental, 401(k) plans along with a host of voluntary plans such as car insurance, legal services, and more.

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