About this opportunity
Ambeacon lists this Sr. Analyst, Compliance opportunity in irving, Texas. Review the employer’s description below for duties, qualifications and application requirements.
Job description
American Beacon Partners , formerly known as Resolute Investment Managers, is a diversified asset management platform with affiliated and independent partnerships with more than 30 investment managers. Drawing on approximately 40 years of investment expertise, innovation and adaptability, American Beacon Partners delivers enduring value through traditional and alternative solutions designed to meet investors’ evolving needs.
Driven by future value creation, American Beacon Partners’ unique platform delivers strategic benefits through a full suite of distribution, operational and administrative services that may be leveraged by its affiliates. We offer three customizable partnership models tailored for the U.S. wealth and retirement markets. For affiliated partners, we make strategic investments in boutique asset managers to enhance distribution and administrative support functions. For strategic distribution partners, we help investment managers leverage our distribution expertise to achieve greater scale. For sub-advisors to American Beacon Advisors, we assist institutional-caliber asset managers who are seeking to expand their strategies to retail markets through existing funds or new fund launches. With roots as an unaffiliated sub-advised mutual fund sponsor, the majority of our partnerships are with asset managers who invest and operate with full autonomy and independence.
American Beacon Partners’ affiliates include American Beacon Advisors, Inc.; National Investment Services of America, LLC; RSW Investments Holdings LLC; Shapiro Capital Management LLC; SSI Investment Management LLC; and Resolute Investment Distributors, Inc.
In December 2025, the company was named one of the “Best Places to Work in Money Management” by Pensions & Investments for the seventh consecutive year. For more information, please visit
Our office is located in Irving, Texas (Las Colinas). This position will have the following consideration:
Hybrid: In office, currently Monday-Tuesday-Wednesday each week, with the option to work from home on Thursday and Friday.
Job Description:
The Senior Compliance Analyst reports to the Chief Compliance Officer and works collaboratively with other team members to assist in administration of the compliance program for Resolute Investment Distributors, Inc., the company’s FINRA-member limited purpose broker-dealer. In addition, the Senior Compliance Analyst supports the compliance programs implemented on behalf of the company’s affiliated advisers and fund family. These programs are designed around applicable federal and state securities laws and regulations, including the Securities Exchange Act of 1934 and FINRA rules, the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
Key Responsibilities
Marketing Material Review: Review and approve marketing materials, sales literature and promotional activities for compliance with FINRA and SEC rules. Coordinate required FINRA filings of retail communications, website updates and social media content
Broker-Dealer Compliance Program: Assist the Broker-Dealer Chief Compliance Officer in developing and maintaining compliance policies and written supervisory procedures designed to ensure the broker-dealer’s activities comply with all pertinent legal and regulatory requirements of the SEC, FINRA and applicable states
Registration & Licensing: Assist with FINRA registration, licensing and continuing education requirements for the broker-dealer and its registered representatives
Registered Representative Support: Under the direct supervision of the Broker-Dealer Chief Compliance Officer, provide day-to-day compliance support to registered representatives, including review of correspondence, electronic communications, outside business activities, and gifts and entertainment
Disclosure Document Review: Review fund registration statements, prospectuses and shareholder communications for consistency with regulatory requirements, including disclosure relating to the broker-dealer and its distribution activities
Books & Records: Maintain accurate and complete books and records and monitor compliance with SEC and FINRA record retention requirements
Regulatory Change Management: Support assessments of new rules and regulations and assist with implementation activities
Internal Training: Support the development and delivery of periodic compliance training, including the annual compliance meeting and continuing education for registered representatives
Special Projects: Participate in cross-functional initiatives, such as the evaluation and implementation of new compliance technology and compliance analyses of proposed new investment products
Requirements
Bachelor’s degree or commensurate work experience
At least 5 years of compliance experience at a broker-dealer, asset management firm, investment adviser or regulatory agency
FINRA Series 6 or Series 7 license
Working knowledge of FINRA rules and the federal securities laws as they apply to broker-dealers and to the marketing of registered investment companies
Exceptional proofreading skills and strong attention to detail
Proficiency in Microsoft Office 365
Ability to work independently, prioritize effectively, and manage multiple deliverables and deadlines
Strong written and verbal communication skills, with the ability to collaborate effectively with team members
Preferred Qualifications
FINRA Series 26 or Series 24 license
Experience with investment adviser compliance functions, such as portfolio compliance monitoring and investment guideline testing
Prior experience reviewing marketing materials for a broker-dealer, registered fund complex or private fund sponsor
Working knowledge of rules under the Investment Company Act of 1940 and the Investment Advisers Act of 1940
Experience with compliance monitoring software and portfolio management applications
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Worksite address
irving, TX, 75084, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.