Senior Compliance Professional

Houston, Texas
Competitive salary, bonus potential, employee benefits including 401k match
May 12, 2022
Jul 11, 2022
Job Function
Industry Sector
Asset Management
Employment Type
Full Time

Firm Background:


Garcia Hamilton & Associates (GH&A) is a $18+ Billion money management firm with 35 employees working in downtown Houston.  The firm manages high quality fixed income assets for institutional clients.  GH&A is registered with the Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940. GH&A is proud to be 100% employee-owned and operated, and certified as a Minority-Owned Business Enterprise (MBE).

Job Description:

The Compliance Professional reports to the CCO and is integral to the firm’s compliance program.  This individual will work with the firm’s CCO in the firm’s sole office in Houston, Texas to ensure that GH&A is in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, that the firm’s Code of Ethics is adhered to by all personnel, and other related duties as needed to enhance the firm’s culture of compliance. 


  *Conducting and documenting tests of established policies and procedures

  *Reviewing investment guidelines for entry in the order management/compliance system (Northpoint)

  *Reviewing firm communications for compliance with regulatory guidelines and industry standards such as the Global Investment Performance Standards (GIPS)

  *Conducting email surveillance using SMARSH email review and archiving system

  *Developing presentations and other materials for adhoc and annual employee training

  *Updating policies and procedures in compliance manual, Code of Ethics, and Form ADV

  *Review and preparation of regulatory filings such as Form ADV Parts 1A, 2A and 2B

  *Participate in preparations and reviews of inquiries and audits from regulatory authorities

  *Maintaining automated compliance system: Code of Ethics pre-clearances and attestations; compliance calendar; and oversight of vendors and third-party service providers

  *Monitoring and preparing summaries of regulatory developments that impact the firm


A Bachelor’s degree along with 5+ years of hands on regulatory compliance and/or operations experience. Strong knowledge and understanding of the Investment Advisers Act of 1940, ERISA, Dodd-Frank and other relevant regulations and laws specific to the investment management industry is preferred.  Self-motivated, confident, and able to garner the respect of others.  Excellent communication skills, both written and verbal, and an ability to interact with all levels of management and staff.  Highly organized and attentive to detail with excellent problem-solving skills.  Highest standards of personal and professional ethics and integrity.  Working knowledge of Microsoft Office Suite programs.  Familiarity with automated compliance software a plus.  GH&A is an equal opportunity employer.


In addition to a professional work environment, we offer a competitive salary, bonus potential based on individual and firm performance, excellent employee benefits including 401k matching, and paid vacation.  GH&A is an equal opportunity employer.