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Compliance Officer

2 months ago

Tampa, United States Wintrust Financial Full time
Job Description

Wintrust Wealth Management serves the financial needs of private clients, including high net worth individuals, business owners, and institutions. Since our founding in 1931, we have been helping clients meet their increasingly complex financial goals with the highest standards of service and integrity. Through our four companies, Wintrust Investments LLC, The Chicago Trust Company N.A., Great Lakes Advisors LLC, and The Chicago Deferred Exchange Company LLC, we offer comprehensive wealth management solutions, including investment, trust, and asset management services. Wintrust Wealth Management is a division of Wintrust, a financial services company with more than $50 billion in assets.

Compliance Officer –Quantitative Strategies

Great Lakes Advisors, LLC (“GLA”)

Job Overview:

The Compliance Officer Quantitative Strategies will be a member of GLA’s compliance department and will primarily focus on supporting the firm’s quantitative team located in Tampa, FL. The position will serve as the compliance program lead collaborating closely with other members of the GLA and Wintrust compliance department, business partners, legal team, portfolio management and operations teams, and other service providers and stakeholders on the daily administration of the compliance programs. This includes supporting all aspects of the compliance program in the Tampa, FL office, including among other things the design and operation of compliance policies and procedures, risk evaluations and conflicts monitoring, testing, training, addressing violations, and client reporting. The person in this role must stay current on legal and regulatory and support the design and implementation of appropriate adjustments to the compliance programs and risk management processes. The position will report to the Managing Director- Compliance for the company.

Primary Duties & Responsibilities

  • Primary compliance contact in the Tampa, FL office, with responsibility for the management and operation of all aspects of the Rule 206(4)-7 compliance programs on a day-to-day basis.
  • Compliance oversight of portfolio management, trading, and related operations in the Tampa, FL office.
  • Review and approval of firm marketing materials.
  • Review and approval of responses to Requests for Proposals and Due Diligence Questionnaires.
  • Assist with gathering and reporting certain asset-level data.
  • Work with the firm’s Intermediary team to gather market value data, performance data and fee details for internal and external reporting/tracking.
  • Perform ESG testing and compliance review for ESG quantitative strategies.
  • Report performance to various third parties.
  • Assist with external client audits, Internal Audit requests and firmwide and strategy-specific GIPS performance verifications.
  • Lead or participate in committees overseeing the Tampa, FL operations and compliance and prepare and present related compliance reports.
  • Monitor and evaluate the impact of business and regulatory developments on the programs, including new rules, regulatory guidance, and best practices, and recommend and consult with the CCO on program adjustments.
  • Assist with implementation and testing of disaster recovery program.
  • Serve as a point of contact and liaison for regulators along with the CCO on all regulatory exams and inquiries together with other members of the compliance department.
  • Participate in the design and drafting of compliance policies and procedures, as needed.
  • Lead the development and administration of compliance supervision, testing and training programs for the Tampa, FL office.
  • Serve as compliance program contact for internal and outside audits, annual compliance review and risk assessments.

Qualifications

  • Bachelor’s and/or Master’s degree, with an emphasis in business, finance, accounting or equivalent preferred. MBA, JD, CFA, CPA a plus. IACCP or comparable certification is a plus.
  • Minimum of 5 years professional experience with an investment management or financial services firm and a background in compliance, risk management, legal or related role.
  • Broad financial services knowledge and understanding of fundamental investment concepts, practices and procedures in the asset management industry and knowledge of the compliance rules under the Investment Advisers Act of 1940. Experience with 40 Act mutual funds and knowledge of the Investment Company Act of 1940, as well as familiarity with ERISA regulations and servicing ERISA accounts, are a plus. GIPs proficiency required. Proficiency with MS Office Suite and familiarity with SS&C/Advent Suite preferred.
  • Effective communication and presentation skills and ability to effectively structure presentations and other communications for clients, consultants, boards, committees, and senior management.
  • Ability to effectively interface with all levels of management and client contacts and work in a team environment.
  • Ability to work well under pressure/deadlines and independently manage multiple projects, as well as to lead other members of the Compliance and business teams.
  • Compliance experience with fundamental strategies and 40 Act funds a plus. GIPs proficiency required. Proficiency with MS Office Suite and familiarity with SS&C/Advent Suite preferred.

From our first day in business, Wintrust has been proud to serve a variety of unique communities and people from all walks of life. To be Chicago’s Bank® and Wisconsin's Bank®, we need to reflect that diversity both in all the communities we serve, the people we employ, the organizations we work with, and our banking and lending practices. Wintrust Financial Corporation, including community banking and financial services subsidiaries, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, sex, sexual orientation, gender identity and expressions, genetic information, marital status, age, disability, or status as a covered veteran or any other characteristic protected by law.