Sr Compliance Officer

4 weeks ago


Wheaton, United States Howard Sloan Financial Full time
Job DescriptionJob Description

A growing Registered Investment Advisory Firm (RIA ~$8B AUM) is looking for a Sr /Compliance Officer, with generalist responsibilities, to join a supportive, collaborative team.

Onsite - Western Chicago Suburbs

Areas of focus include:

Assisting with day to day management of compliance program

Reviewing & approving marketing materials,

Reviewing client accounts,

Participating in annual compliance program review & testing,

Assisting with compliance trainings,

Conducting sub advisor due diligence & periodic branch inspections.

The Ideal candidate has 3-5+ years experience of RIA compliance and supervision, holds a Bachelor's degree and has a solid understanding of the Investment Advisers Act of 1940. Excellent opportunity to broaden compliance expertise.



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