Compliance Manager

3 weeks ago


Chicago, United States Larson Maddox Full time

Responsibilities:

  • Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.
  • Identify risks, assess mitigating controls, and make recommendations to improve the control environment.
  • Follow up on open issues and ensure their resolution.
  • Prepare various regulatory filings.
  • Create, implement, review, and analyze reports for compliance monitoring.
  • Administer the Code of Ethics compliance program, including oversight of personal trading, gifts and business entertainment, and political contributions.
  • Assist with compliance training programs.
  • Stay abreast of new rules and regulations, implementing processes and controls in accordance with compliance dates.
  • Conduct regular testing of the compliance program across multiple business units.
  • Coordinate with various internal and external parties to ensure completion of various tasks.

Requirements:

  • Bachelor's degree required; legal/compliance, finance, and accounting background a plus.
  • 5+ years of relevant work experience, with familiarity with the Advisers Act and/or Investment Company Act; experience in public accounting, due diligence, internal audit, or similar roles in the financial services industry is beneficial.
  • Strong written and verbal communication skills.
  • Highly motivated with the ability to multitask and remain organized in a growing and fast-paced environment.
  • Attention to detail and ability to see projects through to completion.
  • Able to work under minimal supervision on individual tasks or on team projects with a strong sense of ownership and accountability.
  • Accurate, accountable, and able to multitask while managing both time and workload.



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