![Larson Maddox](https://media.trabajo.org/img/noimg.jpg)
Chief Compliance Officer
4 weeks ago
Key Accountabilities:
- Conduct the trust’s annual compliance program review, report findings, propose procedural changes to management, and ensure timely implementation of changes.
- Identify and correct deficiencies in compliance processes and procedures that may lead to internal and/or regulatory non-compliance.
- Collaborate with portfolio managers, advisors, marketing, and operations to resolve compliance issues or provide recommendations.
- Perform compliance monitoring test work over the funds’ investment adviser(s) in an oversight capacity for assigned trusts, including on-site due diligence visits. Focus areas include portfolio compliance, best execution, proxy voting, liquidity, and soft dollars.
- Execute compliance monitoring test work on behalf of the trust, including market timing, code of ethics, compliance with trust procedures, and annual testing and reporting.
- Conduct periodic testing pertaining to compliance programs and related policies and procedures of service providers.
- Participate in risk management activities, monitor the effectiveness of internal departmental controls and procedures, and review results of regulatory examinations and internal or external audits or testing.
- Coordinate responses to SEC and other regulatory examinations and inquiries related to the organization, its fund clients, and their advisers.
- Assist in monitoring, reviewing, communicating, and implementing changes to federal securities laws, especially those requiring revisions to fund or service provider policies and procedures.
- Provide compliance consulting and other services for investment advisers and other entities as needed.
Education and Experience:
- Bachelor’s degree or equivalent.
- 10 years of experience in the mutual fund or investment advisory industry.
- 5 years of relevant industry experience in mutual fund or investment advisor compliance.
- CPA, CFA, law license, FINRA registration, and/or compliance certification preferred.
Knowledge:
- Strong knowledge and understanding of the Investment Company Act of 1940.
- Working knowledge of the Investment Advisers Act of 1940.
- Proficiency in Microsoft Office Suite and Adobe Acrobat.
-
Chief Compliance Officer
4 weeks ago
Chicago, United States Larson Maddox Full timeA mid sized bank is looking to add a Chief Compliance Officer to the team! In this role you will oversee the development, implementation, and maintenance of policies, reporting frameworks, procedures, and training programs for employees across the organization. This individual advises the Board of Directors and executive management on appropriate measures to...
-
Chief Compliance Officer
1 month ago
Chicago, United States Larson Maddox Full timeA mid sized bank is looking to add a Chief Compliance Officer to the team! In this role you will oversee the development, implementation, and maintenance of policies, reporting frameworks, procedures, and training programs for employees across the organization. This individual advises the Board of Directors and executive management on appropriate measures to...
-
Chief Compliance Officer
1 month ago
Chicago, United States Larson Maddox Full timeA mid sized bank is looking to add a Chief Compliance Officer to the team! In this role you will oversee the development, implementation, and maintenance of policies, reporting frameworks, procedures, and training programs for employees across the organization. This individual advises the Board of Directors and executive management on appropriate measures to...
-
Chief Compliance Officer
2 weeks ago
Chicago, United States Larson Maddox Full timeA mid sized bank is looking to add a Chief Compliance Officer to the team! In this role you will oversee the development, implementation, and maintenance of policies, reporting frameworks, procedures, and training programs for employees across the organization. This individual advises the Board of Directors and executive management on appropriate measures to...
-
Chief Compliance Officer
2 weeks ago
Chicago, United States Larson Maddox Full timeA mid sized bank is looking to add a Chief Compliance Officer to the team! In this role you will oversee the development, implementation, and maintenance of policies, reporting frameworks, procedures, and training programs for employees across the organization. This individual advises the Board of Directors and executive management on appropriate measures to...
-
Deputy Chief Compliance Officer
4 weeks ago
Chicago, United States Larson Maddox Full timeOur client, a global trading firm is looking to bring on a Deputy Chief Compliance Officer at their Chicago office You'll play a pivotal role in overseeing their global compliance program. Your responsibilities will encompass surveillance, policy development, enforcement, and the provision of compliance guidance to internal trading teams. You will...
-
Deputy Chief Compliance Officer
2 weeks ago
Chicago, United States Larson Maddox Full timeOur client, a global trading firm is looking to bring on a Deputy Chief Compliance Officer at their Chicago office You'll play a pivotal role in overseeing their global compliance program. Your responsibilities will encompass surveillance, policy development, enforcement, and the provision of compliance guidance to internal trading teams. You will...
-
Deputy Chief Compliance Officer
2 months ago
Chicago, United States Larson Maddox Full timeOur client, a global trading firm is looking to bring on a Deputy Chief Compliance Officer at their Chicago office You'll play a pivotal role in overseeing their global compliance program. Your responsibilities will encompass surveillance, policy development, enforcement, and the provision of compliance guidance to internal trading teams. You will...
-
Deputy Chief Compliance Officer
2 months ago
Chicago, IL, United States Larson Maddox Full timeOur client, a global trading firm is looking to bring on a Deputy Chief Compliance Officer at their Chicago office You'll play a pivotal role in overseeing their global compliance program. Your responsibilities will encompass surveillance, policy development, enforcement, and the provision of compliance guidance to internal trading teams. You will...
-
Chief Compliance Officer
1 month ago
Chicago, IL, United States Larson Maddox Full timeA mid sized bank is looking to add a Chief Compliance Officer to the team! In this role you will oversee the development, implementation, and maintenance of policies, reporting frameworks, procedures, and training programs for employees across the organization. This individual advises the Board of Directors and executive management on appropriate measures to...
-
Compliance Officer
2 months ago
Chicago, United States Gelber Group Full timeWe are Gelber Group - Passion for Trading. Powered by Technology. Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading ideas and careful attention to...
-
Compliance Officer
3 weeks ago
Chicago, United States Gelber Group Full timeWe are Gelber Group -- Passion for Trading. Powered by Technology. Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading ideas and careful attention to...
-
Compliance Officer
1 month ago
Chicago, United States Gelber Group Full timeWe are Gelber Group -- Passion for Trading. Powered by Technology. Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading ideas and careful attention to...
-
Compliance Officer
2 weeks ago
Chicago, United States Gelber Group Full timeWe are Gelber Group -- Passion for Trading. Powered by Technology. Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading ideas and careful attention to...
-
Compliance Officer
2 months ago
Chicago, United States Gelber Group Full timeJob DescriptionJob DescriptionWe are Gelber Group -- Passion for Trading. Powered by Technology.Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading...
-
Compliance Officer
1 month ago
Chicago, United States Gelber Group Full timeWe are Gelber GroupPassion for Trading. Powered by Technology. Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading ideas and careful attention to...
-
Compliance Officer
1 month ago
Chicago, United States Morningstar Inc. Full timeThe Group: Morningstar's Compliance team supports Morningstar's global business entities, primarily focusing on those registered with and governed by regulatory authorities. Our compliance professionals help each Morningstar business entity adhere to the rules and regulations of the local regulatory authorities. The Role: Morningstar's Compliance team is...
-
Compliance Officer
2 weeks ago
Chicago, United States Morningstar Inc. Full timeThe Group: Morningstar's Compliance team supports Morningstar's global business entities, primarily focusing on those registered with and governed by regulatory authorities. Our compliance professionals help each Morningstar business entity adhere to the rules and regulations of the local regulatory authorities. The Role: Morningstar's Compliance team is...
-
Chief Dental Officer
1 week ago
Chicago, United States Elite Dental Partners Full timeJob DescriptionJob DescriptionThe Chief Dental Officer is a key member of the Executive Leadership Team. The Chief Dental Officer leads and mentors the Clinical Team. The Chief Dental Officer's work will advance best clinical outcomes, enhance the doctor and patient experience, and ensure compliance with applicable regulations. The Chief Dental...
-
Compliance Officer
2 weeks ago
Chicago, United States Morningstar Full timeThe Group: Morningstar's Compliance team supports Morningstar's global business entities, primarily focusing on those registered with and governed by regulatory authorities. Our compliance professionals help each Morningstar business entity adhere to the rules and regulations of the local regulatory authorities. The Role: Morningstar's Compliance team is...