Compliance Officer

The Investment Compliance Officer supports Texas PSF’s mission by ensuring adherence to regulatory requirements, investment guidelines, and internal policies. This position reports to the Senior Counsel of Corporate Operations and is responsible for monitoring investment compliance, reviewing trading activity, evaluating internal controls, and assisting in developing policies and processes to strengthen the fund’s governance and fiduciary standards. The role works collaboratively across departments such as Investment Operations, Risk, IT, Legal, and Internal Audit to identify and mitigate compliance risks and promote a culture of accountability and transparency. Duties and Responsibilities Ensure investment transactions comply with investment policies and guidelines, investment manager agreements, and compliance reporting standards. Track, monitor, and report on portfolios for adherence to investment policies, donor restrictions, regulatory requirements (e.g., SEC, IRS), securities lending, and fund‑specific guidelines. Complete timely filings with applicable regulatory agencies such as the SEC and prepare and review filings, disclosures, and compliance certifications. Review investment policies and guidelines to ensure they are properly captured within the Compliance Program (e.g., Bloomberg AIM, BNY, or other systems). Maintain compliance rules and objects (e.g., watchlists, custom classifications, custom data fields, and daily data uploads). Monitor intraday and end‑of‑day rule violations, identify and resolve compliance issues, and prevent violations by coordinating with relevant parties. Assist with reviewing employee personal trading disclosures. Prepare and submit reports and documentation related to compliance initiatives, incidents, testing outcomes, and regulatory filings. Maintain detailed records of compliance testing, risk assessments, and regulatory approvals. Respond to performance and compliance‑related requests from external auditors and independent control reviews. Compile and analyze compliance metrics for presentation to senior leadership, Board committees, or the Audit and Ethics Committee. Provide guidance and training to employees on compliance policies, investment guidelines, and best practices. Assist in compiling data for Public Information Act requests. Ensure compliance with internal policies such as Ethics Policy and Insider Trading Policy. Manage and complete assigned Strategic Plan tasks. Work confidently as part of a broader team that spans many functions, partnering with a pragmatic approach and good judgment to ensure alignment between compliance monitoring and institutional objectives. Required Minimum Qualifications Graduation from an accredited four‑year college or university with coursework in Finance, Accounting, Economics, Business Administration, or a related field. Extensive experience in investment compliance, audit, or risk management, ideally within an endowment, foundation, asset management firm, or institutional investor environment. Proficiency with compliance and risk systems (e.g., Bloomberg AIM, BNY, or similar). Preferred Qualifications Related certifications such as Certified Compliance & Ethics Professional (CCEP), Certified Regulatory and Compliance Professional (CRCP), Certified Internal Auditor (CIA), or similar. Knowledge, Skills, and Abilities Strong understanding of investment compliance frameworks and regulatory requirements relevant to institutional investing (e.g., Investment Advisers Act, Securities Act, Commodities Exchange Act, FINRA). Understanding of portfolio management and risk controls, investment compliance, and controls. High ethical standards, integrity, and sound judgment. Strong written and verbal communication skills. Detail‑oriented with the ability to work independently and collaboratively. Strong analytical and data management skills, including Excel and reporting tools. Proficient in Microsoft Office Suite or related software. Analytical and technical skills, including problem‑solving and document management. High level of critical thinking and attention to detail. Ability to manage multiple priorities in a fast‑paced environment. Experience working with database technologies and maintaining compliance data management systems. Ability to understand and interpret rules, regulations, and policies. Ability to analyze information and data and present viable recommendations. Ability to build and maintain effective working relationships with internal and external customers. Ability to communicate ideas, thoughts, and facts orally and in writing; organize ideas clearly; tailor communications to effectively reach an audience. Ability to meet deadlines while managing multiple assignments. Ability to work independently and in a team environment while exercising a high degree of initiative, independence, and good judgment. Ability to maintain the security and integrity of the infrastructure. #J-18808-Ljbffr