Sr. Analyst, Compliance

Legal & Compliance

Resolute Investment Managers, Inc. ("Resolute") is a diversified, multi-affiliate asset management platform that partners with affiliated and independent investment managers totaling almost $89B in aggregate assets under management as of December 31, 2021. The clients of Resolute and its affiliates include corporate defined benefit plans, institutions, and individual investors. The company traces its history to 1986 when an affiliate, American Beacon Advisors, Inc. ("American Beacon"), began providing investment management services as an independently operated entity. Since 1987, American Beacon has managed the American Beacon Funds family of mutual funds. Resolute is majority owned by funds affiliated with Kelso & Co., a leading private equity sponsor. Resolute Investment Managers was named one of the Best Places to Work in Money Management by Pensions & Investments. Learn more about Resolute by visiting www.resolutemanagers.com

Our office is in Las Colinas, TX. This position is a hybrid role and will provide you the opportunity to spend some time working from home as well as working in the office.

Job Description:

• Responsible for implementing procedures and controls for American Beacon Advisors and the American Beacon Funds family of mutual funds to ensure compliance with applicable regulatory requirements of the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority, U.S. Commodity Futures Trading Commission, and other applicable regulatory agencies.
• Assists the Chief Compliance Officer in developing firm-wide compliance policies and procedures to ensure the organization's activities comply with all pertinent legal and regulatory requirements.
• Performs special projects as required, such as compliance analyses of proposed new investment products.

Specific duties include:

• Monitoring third-party sub-advisors for transaction-level compliance with regulatory requirements and portfolio guidelines.
• Implementing sub-advisor oversight program, including some travel to perform due diligence visits.
• Conducting testing and interviews to monitor compliance with established procedures.
• Reviewing mutual fund disclosure documents for consistency with regulatory requirements.

Required qualifications:

• At least four years of compliance experience in the investment management industry
• Excellent organizational, written, and oral communication skills
• Working knowledge of the federal securities laws as they apply to investment advisers
• Bachelor's degree

Preferred qualifications:

• Working knowledge of the federal securities laws as they apply to mutual funds and ETFs
• At least six years of experience in the investment management industry
• Familiarity with various investment types, including derivatives