Deputy Chief Compliance Officer

Talently Recruiting•Wheaton, IL

12d•$140,000 - $170,000•Onsite

About The Position

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!

Requirements

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 Haves

Microsoft Office
eGRC experience, preferably LogicManager

Responsibilities

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.