Opportunities

 

Investment Advisor

Chief Compliance Officer, Chicago, IL

Chief Compliance Officer (Chicago, IL): Our client, a growing investment advisor with over $5B in AUM, is looking an experienced compliance professional to manage the firm’s compliance department. This hire will work closely with the General Counsel and CEO.

 

Key Points: 

  • Firm is very stable and continuing to add assets and people 
  • CCO position reports to the General Counsel and CEO – exposure to senior management across the entire firm 
  • Person will manage two junior staff 
  • Great quality of life and flexibility 

Responsibilities:

  • Develop, implement and monitor policies and procedures; review and maintain accurate and up-to-date records for daily/annual compliance reviews
  • Serve as the firm’s liaison with the regulators (SEC, FINRA, and the NFA) preparing responses to requests for information; manage all regulatory examinations conducted by regulators
  • Participate in numerous inter-departmental committees as it relates to the business and risk management responsibilities; share timely compliance reports while providing guidance on regulatory requirements
  • Coordinate with senior management creating effective compliance systems and processes in order to properly address trading and investing issues; supervise the compliance department in conducting compliance reviews and ensuring all deadlines are met

Qualifications:

  • 10+ years of relevant experience handling securities-related matters, must have legal, accounting and compliance experience; bachelors degree
  • Knowledge of securities law, with a strong emphasis on regulatory compliance, broker-dealers and investment companies; advance professional degree or designation is preferred
  • Excellent communication skills (verbal and written) as this a highly visible role managing various members of the compliance department; strong attention to detail
  • Required licensing includes: 7, 63 and 24.  If the person doesn’t have them, they will need to obtain them after joining the firm. 

Job Reference #1421

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