Job Description

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

Job Tags

Similar Jobs

Shane Hall Financial

Director of First Impressions/Administrative Assistant Job at Shane Hall Financial

Who we are At Shane Hall Financial, we believe money can create freedom that allows you to pursue what is most important in life NOW and in the future and it doesnt have to be complicated. We are a specialized Wealth Management Firm serving entrepreneurs, business...

Upward Health

Care Specialist - Enhanced Care Management Job at Upward Health

...the time and virtually the other 10% to deliver chronic care management to high complexity patients. During initial outreach the Care... ...medication reconciliation; connect patients to relevant community resources, with the goal of enhancing patient health and well-being,...

Midwest Logistic Systems

Midwest Logistics Systems Part-time Dedicated truck driver Job at Midwest Logistic Systems

Haul automotive parts in dry van trailers with newer trucks. Haul no-touch, mostly drop-and-hook freight. Work with onsite leaders and dispatch. Pay and bonus potential ~ Route and detention pay. Qualifications Valid Class A Commercial Drivers License...

Walt Disney

Sr. Game Designer Job at Walt Disney

...Job Summary: About the Role & Team Disney Games a division of Disney Experience is one of the world's largest licensors of games... ...role draws upon your expertise not only as a seasoned game designer but also as an expert on gaming trends and a Lucasfilm fan to partner...

Mount Indie

Systems Integration Engineer Job at Mount Indie

...We are seeking a Senior Systems Integration Engineer to support a mid-sized government contractor specializing in cutting-edge defense solutions. In this role, you will play a critical part in systems engineering efforts, focusing on systems design and integration, manufacturing...

Deputy Chief Compliance Officer Job at Talently, Wheaton, IL

c0JPMlZEVVVtTFRHNUNCR3YzVy9aVWw4