Deputy Chief Compliance Officer

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 :

Nice to Have Skills :

What's In It for You :

Salary : $140,000 - $170,000