Job Description
A leading investment management firm is seeking a Senior Compliance Officer to oversee key aspects of its compliance program. This role requires a deep understanding of investment advisory products, services, and the regulatory framework governing them. The successful candidate will manage routine and special projects within the Legal & Compliance Department and act as a subject matter expert on compliance controls. This role will require 3 days a week in office in Chicago.
Key Responsibilities:
- Oversee monitoring and testing
- Manage and complete regulatory filings such as Form ADV
- Review marketing materials, investor communications, and reports for compliance
- Investigate and resolve compliance issues; advise senior management and the board.
- Assess control design and effectiveness to mitigate compliance risk.
- Lead special projects related to policy updates, regulatory changes, and compliance solutions
Qualifications:
- Bachelor's degree required; JD a plus
- 7+ years of relevant experience
- Familiarity with the Investment Advisers Act of 1940 and/or Investment Company Act of 1940.
- Strong knowledge of regulatory and industry best practices in compliance, governance, and risk management
Job Tags
Part time, Work at office, 3 days per week,