NorthStar Memorial Group


Location Address US-TX-Houston
Job ID
# of Openings
Location Name
NSMG Home Office, TX


At NorthStar Memorial Group, we choose collaboration over bureaucracy.  Here, everyone has a chance to lead.  We encourage & empower our people at every level to speak up, be heard, and watch their ideas become realities.  Degreed & non-degreed professionals, labor workers, industry experts – people from all career and experiential backgrounds have the opportunity to find a home here.


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This position supports the General Counsel in corporate compliance and governance, investment advisor compliance and governance, transaction support, litigation tracking and management, risk management, and management of outside counsel.


Initial Assignment of Tasks and Responsibilities


Risk Management Committee Management and Governance

  • Organize Meetings with Agenda and Resource Development
  • Manage Business Function Input for Committee Review
  • Communication of Findings and Decisions to Business Functions
  • Coordination of Special Focus Reviews
  • Minutes and Records Maintenance

Investment Advisor Compliance and Governance

  1. Maintenance of Regulatory Files, Records and Documentation
  2. Certifications/Affirmations
  3. Quarterly Access Person Securities Holdings
  4. Training (Anti-Money Laundering; Code of Ethics; Overall Compliance)
  5. Calendar, Monitor and Assist with Regulatory Filings
  6. Monitor Compliance Task List Execution
  7. Client and Vendor Contract Management
  8. Books and Records Maintenance
  9. Annual Reviews/Audits
  • Policies and Procedures Manual
  • Code of Ethics
  • Compliance Meeting
  • Best Execution
  • Disaster Recovery Plan
  • Anti-Money Laundering Program
  • Cybersecurity
  1. Annual Compliance Meeting
  • Agenda Development
  • Minutes and Records Maintenance
  1. Policies and Procedures Manual
  • Code of Ethics
  • Access Person Securities Holdings
  • Brokerage Account/Disciplinary Disclosure
  1. Initial Client Compliance
  • Anti-Money Laundering Checklist
  • Disclosure Document
  • Client Profile (Investment Objectives-TAM Investment Policy)
  • Advisory Agreement
  • Privacy Policy
  1. Annual Client Deliveries
  • Disclosure Document (Form ADV Part II) (within 90 days fiscal year end)
  • Notice to Clients of Current Privacy Policy

Transaction Support

  • Assist in review, drafting, due diligence, and process management

Litigation Tracking and Management

  • Ensure proper tender to carriers, maintain docket calendar, assist in discovery, and assist with management communication

Risk Management/Property & Casualty Program

  • Policy Review and Management
  • Policy Billings Review and Management
  • Policy Renewal Process and Deliveries
  • Communications to Management
  • Training Administration

Outside Counsel Management

  • Assist with review of billings. Manage and support efforts and projects

Corporate Compliance and Governance

  • Form and Maintain Entities
  • Assist with Entity State Filings and Compliance
  • Coordinate Maintenance of Entity Chart and Entity Data Sheets
  • Draft Resolutions and Certificates

Requirements and Qualifications

  • Proficiency in Microsoft Word, Excel, and Outlook required.
  • Corporate and transaction experience preferred
  • Must possess strong work ethic and personal integrity
  • Excellent verbal and written communication skills
  • Ability to execute projects to completion
  • Detail oriented
  • Superior time-management skills and ability to work in a team-oriented environment.


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