Deputy Chief Compliance Officer

3 months ago


Wheaton, United States Talently Recruiting Full time

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:

  1. Review fund and affiliate compliance policies and procedures. Identify, analyze and mitigate risks by developing new/ improving existing compliance procedures.
  2. Supervise compliance testing and ensure compliance of affiliates, fund sub-advisors and service providers.
  3. Manage and review quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees.
  4. 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.
  5. At the direction of the Chief Compliance Officer, assist in various compliance related matters.
  6. Be a subject matter expert and consult on compliance related issues. Help prepare and present ongoing training on compliance policies to the compliance team.
  7. Lead, mentor and advise the compliance team to ensure all objectives and deadlines are met.


Must Have Skills:

  1. 10 years of securities compliance, with working knowledge of SEC rules, including Investment Company Act of 1940 and Investment Advisers Act of 1940
  2. Bachelor’s Degree required
  3. Series 7 & Series 24 Required
  4. Currently in a senior role at an asset management/ investment company with Adviser Act compliance experience

Nice to Have Skills:

  1. Microsoft Office
  2. eGRC experience, preferably LogicManager

What's In It for You:

  1. $140K-170K+ Bonus
  2. Health Benefits



  • Wheaton, United States Talently Recruiting Full time

    Job Title: Deputy Chief Compliance OfficerLocation: Wheaton, IL (Onsite)Compensation: $140K-170K+ BonusSkills: 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...


  • Wheaton, United States Talently Recruiting Full time

    Job Title: Deputy Chief Compliance OfficerLocation: Wheaton, IL (Onsite)Compensation: $140K-170K+ BonusSkills: 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...


  • Wheaton, Illinois, United States Talently Recruiting Full time

    Job Title: Deputy Chief Compliance OfficerWe are seeking an experienced Deputy Chief Compliance Officer to join our team at Talently Recruiting. This role is ideal for a seasoned professional with a passion for investment adviser and investment company compliance.Key Responsibilities:Review and analyze compliance policies and procedures to identify and...


  • Wheaton, Illinois, United States Talently Recruiting Full time

    Position Title: Associate Chief Compliance OfficerLocation: RemoteSalary: $140K-170K+ BonusRequired Expertise: Securities Regulation, In-depth understanding of SEC Regulations (including Investment Company Act of 1940 and Investment Advisers Act of 1940)Talently Recruiting is seeking a seasoned Associate Chief Compliance Officer to enhance our compliance...


  • Wheaton, Illinois, United States The LaSalle Group Full time

    Chief Financial OfficerLaSalle Network is pleased to be partnered with a commercial lighting manufacturer that has been in business for over thirty-five years. Our client is seeking a Chief Financial Officer (CFO) to support the company through its next stage of growth. The ideal candidate will have a strong finance background and be able to lead all finance...


  • Wheaton, Illinois, United States gpac Full time

    BSA and Compliance/CRA Officer Job DescriptionThe BSA and Compliance/CRA Officer will be responsible for developing, implementing, and administering the Bank's BSA/AML program to ensure compliance with the Bank Secrecy Act, and all other Anti-Money Laundering and Office of Foreign Assets Control laws and regulations.Key Responsibilities:Develop, implement,...


  • Wheaton, Illinois, United States gpac Full time

    BSA and Compliance/CRA Officer Job DescriptionThe BSA and Compliance/CRA Officer will be responsible for developing, implementing, and administering the Bank's BSA/AML program to ensure compliance with the Bank Secrecy Act, and all other Anti-Money Laundering and Office of Foreign Assets Control laws and regulations.Key Responsibilities:Develop, implement,...


  • Wheaton, Illinois, United States gpac Full time

    Job Title: BSA and Compliance/CRA OfficerGPAC is seeking a highly skilled BSA and Compliance/CRA Officer to join our team. As a key member of our organization, you will be responsible for developing, implementing, and administering the Bank's BSA/AML program to ensure compliance with the Bank Secrecy Act and all other Anti-Money Laundering and Office of...


  • Wheaton, Illinois, United States Decision Point Ministries Full time

    About the RoleDecision Point Ministries is seeking a highly skilled and experienced Chief Operating Officer to lead our daily ministry operations and drive strategic growth. As a key member of our Executive Team, you will be responsible for overseeing the implementation of our Strategic Plan, managing our ministry programs, and ensuring the effective...


  • Wheaton, Illinois, United States Decision Point Ministries Full time

    About the RoleDecision Point Ministries is seeking a highly skilled and experienced Chief Operating Officer to lead our daily ministry operations and advance our mission. As a key member of our Executive Team, you will be responsible for driving the implementation of our Strategic Plan, managing our ministry programs, and ensuring the effective execution of...


  • Wheaton, Illinois, United States Industrial Asset Management Council Full time

    About the RoleWe are seeking a highly skilled and experienced President & CEO to lead our organization and drive its mission forward. The ideal candidate will have a strong track record of leadership, strategic planning, and community engagement.Key ResponsibilitiesProvide strategic leadership and direction to the organizationDevelop and implement business...


  • Wheaton, Illinois, United States Industrial Asset Management Council Full time

    Job Title: President & CEOThe Industrial Asset Management Council is seeking a visionary leader to serve as its President & CEO. This is a unique opportunity to join a dynamic organization that plays a crucial role in the business community.Key Responsibilities:Economic Development: Attract and retain businesses, advocate for the local economy, and support...


  • Wheaton, Illinois, United States MOHAMMAD A KHALID MD PC Full time

    Job SummaryWe are seeking a highly organized and detail-oriented Front Desk Medical Office professional to join our team at MOHAMMAD A KHALID MD PC. As a key member of our internal medicine office, you will be responsible for providing exceptional patient care and administrative support to our doctors and medical staff.ResponsibilitiesAnswer and direct phone...


  • Wheaton, Illinois, United States Northwestern Medicine Full time

    Job SummaryThe Security Officer I plays a vital role in upholding the mission, vision, and values of Northwestern Medicine. This position requires adherence to the organization's Code of Ethics and Corporate Compliance Program, as well as compliance with all relevant policies, procedures, and guidelines.Key ResponsibilitiesReflect the mission, vision, and...


  • Wheaton, Illinois, United States Northwestern Medicine Full time

    Job SummaryThe Security Officer I embodies the mission, vision, and values of Northwestern Medicine, adhering to the organization's Code of Ethics and Corporate Compliance Program. This role is responsible for ensuring the safety and security of patients, visitors, and staff within the hospital environment.Key ResponsibilitiesEnforce hospital policies and...


  • Wheaton, Illinois, United States Crossway Full time

    Job Title: Business Intelligence CoordinatorJoin Crossway as a Business Intelligence Coordinator and play a critical role in supporting the Chief Communications Officer by providing data-driven insights through data mining, visualization, and analysis.Key Responsibilities:Extract and gather data from various sources, ensuring data accuracy and...


  • Wheaton, Illinois, United States Northwestern Memorial Healthcare Full time

    Job DescriptionThe Clinical Operations Coordinator, RN plays a vital role in reflecting the mission, vision, and values of Northwestern Memorial Healthcare, adhering to the organization's Code of Ethics and Corporate Compliance Program, and ensuring compliance with all relevant policies, procedures, guidelines, and regulatory and accreditation standards.Key...

  • Customer Care Manager

    3 weeks ago


    Wheaton, Illinois, United States BrightStar Care of Central DuPage-Wheaton Full time

    Job OpportunityWe are seeking a highly skilled and experienced Customer Care Manager to join our team at BrightStar Care of Central DuPage-Wheaton.ResponsibilitiesManage customer care procedures and serve as the primary point of contact for client/customer relations.Schedule staff to meet client care needs and minimize non-billed overtime, ensuring proper...


  • Wheaton, United States Northwestern Memorial Healthcare Full time

    Job DescriptionThe Admin Operations Coordinator II reflects the mission, vision, and values of NM, adheres to the organization’s Code of Ethics and Corporate Compliance Program, and complies with all relevant policies, procedures, guidelines and all other regulatory and accreditation standards.This position will report to the Operations or Practice...


  • Wheaton, United States Northwestern Memorial Healthcare Full time

    Job Description The Patient Services Rep reflects the mission, vision, and values of NM, adheres to the organization’s Code of Ethics and Corporate Compliance Program, and complies with all relevant policies, procedures, guidelines and all other regulatory and accreditation standards. The Patient Services Rep performs customer service functions in the...