Title: Chief Compliance Officer
Salary: Competitive for Role
Summary: A rapidly growing investment advisory firm with over $10 billion under advisement, headquartered downtown Chicago, is looking for a CCO. If you're passionate about working with creative, capable, and collaborative people in a supportive and solutions focused environment that prioritizes relationships and results - keep reading.
Key Responsibilities:
* Develop and oversee the compliance program, ensuring that the firm's supervision and controls meet regulatory requirements;
* Retain a comprehensive and timely understanding of relevant securities laws and regulations;
* Leverage existing and new technologies to maximize compliance efficiencies across the firm;
* Serve as liaison with regulators, outside counsel and compliance consultants;
* Deliver compliance trainings to employees;
* Conduct compliance reviews of firm advertising, literature, and marketing materials based on SEC rules and regulations;
* Produce annual written compliance program review;
* Advise senior management on meaningful compliance matters;
* Directly supervise an established and capable compliance team.
Key Qualifications:
* Bachelor's Degree in a related field required (JD a plus);
* Series 7 and 65 required (Series 24 a plus)
* 10-15 years of wealth management and asset management experience, in a Compliance role with a SEC registered investment advisor;
* Experience using MS Office Suite, Compliance Systems;
Benefits/Perks:
* Amazing benefits, including: generous 401K matching; discretionary bonus; profit sharing; work from home flexibility/a hybrid work model;
summer hours (start your weekend early when the weather's beautiful!); profit sharing plans; and a wellness program.
Interested in this CCO role? Apply for immediate consideration.
