Compliance Officer

4 weeks ago

Chicago, United States Harrison Gray Search Full time

Harrison Gray Search has partnered with a unique investment management firm to find the next member of their Compliance team.


The Legal and Compliance team is responsible for delivering comprehensive legal, regulatory, and compliance services and solutions to our organization and its subsidiaries. This role is part of the Distribution Compliance team, which is one of five subgroups within the larger Legal and Compliance team (the other subgroups are Investment Partner Oversight, Investment Management Compliance, Regulatory Compliance and Examinations, and Legal). The Distribution Compliance team supports the distribution and marketing functions within the organization. The primary focus of this role is to review marketing and advertising materials, including social media content. This position requires strong attention to detail, excellent organizational skills, and the ability to manage multiple tasks simultaneously in a fast-paced environment.


For candidates in Chicago, Boston or NYC, this will be a hybrid position with 2 days in office. If candidates are located outside of these states, then this can be a fully remote position.


KEY RESPONSIBILITIES:

  • Review marketing materials to ensure compliance with applicable regulatory requirements (e.g., FINRA, SEC, NFA, GIPS) and file materials with regulators as needed.
  • Determine how existing regulations apply to various categories of communications, including but not limited to retail communications, institutional sales literature, and internal use materials.
  • Draft new disclosure language as needed and maintain a disclosures database.
  • Assist in the management, development, and delivery of training materials.
  • Collaborate closely with the Marketing and Distribution teams on new initiatives, including social media campaigns.
  • Assist with various compliance monitoring activities, including social media.
  • Implement and enhance compliance policies, procedures, and processes as requested.
  • Produce team reporting metrics.
  • Assist with ad hoc projects as requested.


KEY BEHAVIORAL EXPECTATIONS:

  • Drives for Results
  • Creates Culture of Collaboration
  • Communication & Engagement
  • Unleashes Innovation
  • Strategic Thinking
  • Agility & Adaptability


MINIMUM QUALIFICATIONS:

  • Bachelor’s Degree or equivalent required.
  • A minimum of 5 years of compliance experience in a financial services firm or law firm, including advertising review experience concerning mutual funds, ETFs, and multi-asset products and solutions.
  • SIE, Series 7, and Series 24 licenses required.
  • Experience operating in a manager-of-managers structure would be a plus.
  • Committed to maintaining the highest ethical standards.


KNOWLEDGE, SKILLS & ABILITIES REQUIRED:

The ideal candidate will be intelligent, energetic, goal-oriented, and a conceptual thinker with the ability to quickly assess situations and exercise sound business judgment. The candidate should possess the following attributes:


  • Meticulous attention to detail.
  • Proactive and independent self-starter with a positive, can-do attitude and the ability to follow through and complete tasks in a team environment.
  • Experience with advertising review software, such as Red Oak or similar.
  • Technologically savvy with an intermediate command of Microsoft Excel.
  • Ability to work individually and with other team members under pressure, prioritizing competing tasks that require the highest level of attention to detail and accuracy.
  • Cooperative attitude and strong interpersonal skills.
  • Pride in producing excellent work product and meeting deadlines.
  • Drive for continuous improvement and pursuit of challenging goals.
  • Strong oral and written communication skills.
  • Ability to prioritize and shift focus dependent upon the needs of the department to support teamwork.
  • An interest in a compliance career path within the financial services industry and understanding of the laws that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and FINRA rules and regulations.


COMPENSATION & BENEFITS:

  • Health benefits
  • Generous PTO policy
  • Base salary for this role, which is just one component of compensation, is $100k-$130k, dependent on experience

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