Compliance Manager recruitment
Founded in 1993, Highland Capital Management, L.P. (“Highland”) headquartered in Dallas, Texas with additional offices in New York and London, is an institutional asset manager specializing in alternative investment strategies. Highland has diversified beyond its historical focus in senior secured bank loans to other core areas including Hedge Funds, 40 Act Funds, Real Estate and Private Equity. Today, Highland manages approximately $23 billion in capital in senior secured loans, high yield bonds, structured products, mezzanine debt and equities. Highland’s global institutional investor base includes corporations, endowments, foundations, pension funds, banks, insurance companies, and funds of funds. The firm’s investment philosophies include the primacy of idiosyncratic risk management, exploring market inefficiencies, fundamental research and active investment management.
Responsibilities
- Responsibility for all applicable regulatory filings (Schedules 13D/G/F, Forms 3/4/5, Form 144, Form ADV, HSR, Form D and Forms U-4/5)
- Ongoing maintenance of the firm's required books and records
- Maintenance of firm restricted list and compliance with all applicable securities law and contractual transfer restrictions relating to equity trades (includes primary interface with firm trade order management system)
- Reconciliation of brokerage statements relating to employee personal trades
- Management of trading procedures and gift policy
- Preparation and scheduling of compliance, proxy voting, and best execution committee meetings
- Monitoring of company email and assistance with the firm’s annual review
- Quarterly and annual back-testing of policies and procedures relating to, among others: best execution, allocations, personal and client account trades, valuation and fund share pricing, marketing review processes, disaster recovery, Code of Ethics procedures and records retention
Qualifications
- Bachelor’s degree required in Finance, Accounting, Economics, or other analytical major
- 5-10 years of compliance experience in corporate finance, investment advisory or corporate banking
- Exposure to bank loans, bonds and equities
- Deep understanding of SEC/FINRA policies and procedures
- Excellent verbal/written communication skills
- Superior work ethic and professional habits
- Strong MS Office and computer skills
Compensation Benefits
Highland offers world class compensation and benefits. The cash compensation package is made up of competitive base pay and a performance bonus. Highland has traditionally offered a generous profit sharing plan allowing employees to share in the results of Highland’s funds. Highland has an industry leading health insurance plan with no premiums or deductibles. Highland’s talented professionals share a passion for excellence, commitment to team work and pride based on the firm’s track record in the alternative investment industry. Highland is an Equal Opportunity Employer.