eFinancialCareers

• Company

  Highland Capital Management, L.P.

• Location

  USA-TX-Plano

• Compensation

  competitive

• Position Type

  Employee

• Employment type

  Full time

• Updated

  26 Aug 2008

• eFC Ref no

  438402

Company 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 $38 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.

Highland Capital has an immediate opening for bright, Compliance Manager for the Legal and Compliance departments. Our professional organization seeks a qualified candidate who performs well under pressure, prioritizes effectively, and enjoys working in a very fast paced environment. The Compliance Manager will be responsible for assisting the Chief Compliance Officer in managing the firm's compliance platform, including implementation of new policies and procedures, monitoring and testing of existing and new policies and procedures and maintenance of the firm's books and records.

Responsibilities

• 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

• Ongoing maintenance of the firm's required books and records, including all applicable regulatory filings (Schedules 13D/G/F, Forms 3/4/5, Form 144, Form ADV, Form D and Forms U-4/5)

• 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 firm cross-trading procedures and firm 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

Qualifications

• Bachelors degree required in Finance, Accounting, Economics, or other analytical major

• 3-5+ years of compliance experience in corporate finance, investment advisory or corporate banking

• Exposure to bank loans, bonds and equities

• Deep understanding of SEC/NASD 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.