Job description
A renowned financial institution is currently looking to add a Compliance Officer to their growing Investment Management division! The Compliance Officer reports to the Chief Compliance Officer and will implement policies and procedures. In this role, you will be given an opportunity for growth and advancement, with exposure to senior level management and a clear promotion path. The position is in downtown Chicago in a hybrid model.
Responsibilities:
- Conducts annual compliance examinations within required timeframe.
- Performs market research on latest trends occurring in the investment management industry, regarding rules, laws and regulations.
- Update the CCO and other senior executives on policies and procedures required for the firm to remain compliant.
- Ensure the company is engaged in activity to meet federal regulations.
- File with FINRA and make sure it's done in a timely manner.
Qualifications:
- 8+ years of experience in compliance, specifically within financial services.
- Bachelor's degree with a focus preferred in Business Administration, Finance or Economics.
- Ability to communicate with senior management.
- Knowledge of SEC and FINRA rules and regulations.
Benefits:
- Generous base salary and bonus structure
- Healthcare, dental, vision, 401k (etc.)
- Growth potential for executive leadership positions
If you are interested in the Compliance Officer position, please apply now with the link above!
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