Job Title: Deputy Chief Compliance Officer
Location: Wheaton, IL (Onsite)
Compensation: $140K-170K+ Bonus
Skills: Securities Compliance, Strong knowledge of SEC Rules (including Investment Company Act of 1940 and Investment Advisers Act of 1940)
We are a trusted Financial Services company that needs an experienced Deputy Chief Compliance Officer to join our team. If you have 10+ years of experience and a passion for investment adviser and investment company compliance, then this may be a perfect fit for you!
In this role, you will:
- Review fund and affiliate compliance policies and procedures. Identify, analyze and mitigate risks by developing new/ improving existing compliance procedures.
- Supervise compliance testing and ensure compliance of affiliates, fund sub-advisors and service providers.
- Manage and review quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees.
- Review and revise existing compliance policies and procedures. Stay abreast of new rules and regulations and develop procedures and compliance oversight testing of such procedures. Update policies and compliance manuals.
- At the direction of the Chief Compliance Officer, assist in various compliance related matters.
- Be a subject matter expert and consult on compliance related issues. Help prepare and present ongoing training on compliance policies to the compliance team.
- Lead, mentor and advise the compliance team to ensure all objectives and deadlines are met.
Must Have Skills:
- 10 years of securities compliance, with working knowledge of SEC rules, including Investment Company Act of 1940 and Investment Advisers Act of 1940
- Bachelor’s Degree required
- Series 7 & Series 24 Required
- Currently in a senior role at an asset management/ investment company with Adviser Act compliance experience
Nice to Have Skills:
- Microsoft Office
- eGRC experience, preferably LogicManager
What's In It for You:
- $140K-170K+ Bonus
- Health Benefits
