A rapidly growing Registered Investment Advisor is looking to bring on a new Chief Compliance Officer to their team. The ideal candidate will be someone who has 8+ years of experience working within a RIA, covering a variety of compliance matters and able to help build the framework at the firm. The role will be based in Chicago in a hybrid setting.
Responsibilities:
- Oversee regulatory filings for the organization, such as Form ADVs, CRS, and BDs, as well as other state filings
- Manage U4/U5 submissions for registered representatives
- Perform periodic and monthly testing of compliance policies and procedures
- Responsible for the surveillance program to monitor activity and identify any issues for potential escalation
- Partner closely with the SEC and FINRA, as well as state agencies; strong knowledge of KYC and AML policies
- Develop the compliance framework for the firm and implement in partnership with the executive team
Qualifications:
- 8+ years of experience at a RIA or in Investment Management sector
- Bachelor's in Business, Finance, Pre-Law or Economics; MBA or JD preferred
- Prior experience in implementation and maintenance of compliance programs at a RIA
- Ability to work with executive team members and strategize on compliance policies
- Certification such as a IAACP, CRCM, or CCEP is desired
Benefits:
- Competitive compensation package
- Medical, Vision, Dental & 401k
- Strong PTO policy
- Ability to grow and develop at a growing firm
If interested in the above, feel free to click the link to be put for immediate consideration!
