Compliance Officer

1 day ago

Chicago IL United States Jones Lang LaSalle Incorporated Full time

LaSalle is seeking a highly skilled and motivated person to join our team as Compliance Officer. The ideal candidate will have an in-depth knowledge of broad compliance matters relating to both broker dealer and investment advisory activities, along with a deep understanding of the related regulatory requirements. The successful candidate will work closely with the Americas CCO in the ongoing development and implementation of the firm’s compliance program, with a defined pathway to a senior compliance role within the firm’s broker-dealer operating in the United States and Canada. Given the overlap between the regulated businesses, however, this role will continue to assist in all aspects of the firm’s compliance program, including providing regulatory guidance to business partners throughout the firm, conducting and/or facilitating the testing program, and administering the firm’s compliance policies and procedures.

This is a role that presents an attractive growth opportunity within a global, well-respected real estate investment advisor, which will provide the candidate with valuable exposure to various compliance areas, both in the U.S. and internationally, and opportunities to collaborate and engage with business executives. A key expectation of the role is the ability to apply sound judgement and thoughtful guidance addressing complex business questions that intersect with compliance policies and procedures.

This role will appeal to individuals who enjoy working in a dynamic and fast-paced environment, are curious by nature and interested in expanding their skill sets, along with enjoying the challenges of adapting to new and evolving regulatory requirements.

Key Experience:

Prior experience working for a regulated business, such as broker-dealer or investment advisor, or any regulatory body supervising such entities.

Accountabilities:
  1. Implement and support the Compliance Department’s strategic program in alignment with LaSalle’s overall business strategy.
  2. Respond to business inquiries in a collaborative and timely way by sharing the regulatory requirements along with identified risks to investors and the firm.
  3. Assist with compliance reviews of marketing materials, such as presentations, product brochures and other forms of communication.
  4. Administer the Code of Ethics, including employee personal trade reporting reviews, ensuring brokerage account electronic feeds are correctly maintained, and ensuring ongoing compliance responsibilities identified in the compliance calendar are addressed and resolved in compliance platform.
  5. Coordinate with the CCO on the annual compliance reviews, along with the development and implementation of compliance policies and procedures.
  6. Perform ad hoc anti-money laundering and know your customer reviews in accordance with firm policy.
  7. Provide guidance and training to assist in the development of the compliance team.
  8. Keep abreast of changing regulatory environment for proposed rules, guidance and industry trends which may affect the firm and require updates to its compliance program.
  9. Assist the CCO in initiatives to enhance the compliance program.
  10. Assist in the development and delivery of compliance training.
  11. Contribute to ad-hoc projects, including support of Americas CCO for regulatory examinations and projects originated by the Americas General Counsel.
Required Qualifications & Experience:
  1. 8+ years of experience working in a regulatory and/or compliance-driven environment.
  2. Broad knowledge of federal securities laws.
  3. FINRA Series 7 and 24 and Canadian licenses are required or need to be obtained within six to twelve months, depending on number of licenses required to be obtained.
  4. Certification in a related field of practice is a plus.
  5. Strong attention to detail.
  6. Excellent written and oral communication skills.
  7. Effective analytical, project management, problem solving and decision making skills.
  8. Working knowledge of compliance systems (Global Relay and ACA ComplianceAlpha a plus).
  9. Self-motivated with a strong work ethic that is able to work equally well independently and as part of a team.
  10. Ability to interact with senior management and investment professionals.
  11. Discretion and ability to handle sensitive information on a confidential basis are critical.
  12. Ability to collaborate in a team environment across departments and seniority levels while employing professionalism and collegiality is essential.
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