Senior Compliance Associate
We have a current opportunity for a Senior Compliance Associate on a permanent basis. The position will be based in Chicago. For further information about this position please apply. The Senior Compliance Associate plays a pivotal role in administering the Compliance Program for each of the regulated entities. This position involves testing controls, reviewing and updating firm policies and procedures, and providing compliance support to various business units. Here are the main responsibilities: Assist in overseeing responsibilities for various entities at the Firm, including policy monitoring, testing, and controls. Drive efficiencies across the department and systems, implementing improved processes to reduce redundancy and leveraging technology for enhanced efficiency. Contribute to the implementation and testing of Compliance policies and procedures. Proactively review business activities to identify potential regulatory, compliance, and reputational risks. Review marketing and sales literature to ensure compliance with FINRA and SEC rules, as well as Global Investment Performance Standards and firm policies and procedures, including social media efforts. Assist in reviewing and drafting RFPs, questionnaires, and other standardized responses. Manage daily surveillance of investment guidelines and related processes, seeking process improvements and implementing them proactively. Provide training and mentorship to junior Compliance professionals. Stay current with new regulations and changes to securities rules and regulations. Provide regulatory and compliance advice to business and control units. Conduct compliance audits of outside sales professionals and branch office locations as necessary. Assist with regulatory and ad hoc filings as needed. Participate in creating new policies and procedures to support new business, including identifying conflicts of interest and determining appropriate controls to mitigate risks. Perform special projects and other duties as assigned. Preferred Qualifications: Bachelor's degree or equivalent work experience. Minimum 5 years of compliance experience required (mutual fund, investment advisor, and broker-dealer experience preferred). Securities Industry Essentials (SIE) exam, Series 6/7, and 24/26 licenses required Strong computer skills in Microsoft Word, Excel, Outlook, and PowerPoint. Detail-oriented with strong organizational and follow-through skills. Excellent communication skills - both verbal and written. Team-oriented, self-starter, and willingness to share ideas. Some travel required.
Negotiable
Chicago
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Compliance Associate
We have a current opportunity for a Compliance Associate on a permanent basis. The position will be based in Naperville. For further information about this position please apply. The Compliance Associate plays a pivotal role in administering the Compliance Program for each of the regulated entities. This position oversees employee affirmations and questionnaires, FINRA registrations, as well as a variety of ad-hoc assignments and projects Serve as the main point of contact for new hire onboarding requirements and conduct one-on-one meetings. Administer the Compliance Monitoring System, StarCompliance, including coordinating and testing version updates, identifying and implementing process improvements, and managing issues as they arise. Act as the point person for employee surveillance, which includes monitoring brokerage accounts, reviewing daily exceptions, overseeing outside business activities, and managing political contributions. Escalate concerns and enforce disciplinary actions, including issuing code violations. Approve and oversee gifts and entertainment reporting. Distribute and review affirmations, including quarterly and annual compliance affirmations, and other required acknowledgements to ensure compliance with firm policies and procedures. Assist the legal team by providing PM and Officer holdings and other information for necessary filings. Coordinate the annual Form ADV mailing with various client relationship groups. Assist in document gathering and provide support during periodic regulatory exams and internal audits. Manage FINRA registrations and assist with regulatory and ad hoc firm filings. Assist in interpreting regulatory developments and assess their impact on systems and controls. Perform special projects and other related duties as assigned. Preferred Qualifications: Bachelor's degree or equivalent work experience. Minimum 3 years of compliance experience required (investment advisor act experience). Securities Industry Essentials (SIE) exam, Series 6/7 required Strong computer skills in Microsoft Word, Excel, Outlook, and PowerPoint. Detail-oriented with strong organizational and follow-through skills. Excellent communication skills - both verbal and written. Team-oriented, self-starter, and willingness to share ideas. Some travel required.
Negotiable
Naperville
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