Associate II

3 weeks ago

Tampa, United States Wintrust Financial Full time

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, Wintrust Private Trust., 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 $62 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.

  • Maintenance Technician II

    4 months ago

    Tampa, United States Moffitt Cancer Center Full time

    Position Highlights:The Maintenance Technician II is responsible for the maintenance, operation, and repair of buildings, equipment and systems throughout the assigned facilities. Must possess the ability to perform general mechanical repairs. The Maintenance Technician II performs demand and scheduled preventive maintenance of the facility equipment to...

  • Imaging Equipment Specialist II

    3 weeks ago

    Tampa, Florida, United States Moffitt Cancer Center Full time

    Job SummaryWe are seeking an experienced Imaging Equipment Specialist II to join our team at Moffitt Cancer Center.About the RoleThis is a challenging opportunity for a skilled professional with a background in biomedical equipment repair and maintenance. The successful candidate will be responsible for ensuring that our medical imaging equipment is...

  • Retail Associate II

    3 months ago

    Tampa, United States AdventHealth Full time

    Providing fresh and quality food, brewed coffee and teas. - Prepares specialized coffee drinks, such as espressos, cafe latte, cappuccinos, by brewing espresso and steamed milk. - Prepares and serves items such as salads, sandwiches,entrees and pizza Retail Associate, Associate, Retail, Healthcare

  • Lead HVAC Refrigeration Mechanic II

    1 month ago

    Tampa, Florida, United States Moffitt Cancer Center Full time

    Job DescriptionWe are seeking an experienced Lead HVAC Refrigeration Mechanic II to join our maintenance team at the Moffitt Cancer Center. This role is responsible for performing preventative maintenance and repairs on HVAC/R systems, ensuring a safe environment and operational reliability.About the RoleThe Lead HVAC Refrigeration Mechanic II will be part...

  • HVAC Refrigeration Mechanic II

    4 months ago

    Tampa, United States Moffitt Cancer Center Full time

    Position Highlights:The HVAC/R Mechanic II performs demand and scheduled preventive maintenance of the facility equipment to primarily include Heating, Ventilation and Air Conditioning (HVAC) and associated systems in accordance with departmental, hospital and regulatory agency codes. Specific duties include maintaining facilities and equipment in hospital...

  • Retail Associate II

    6 months ago

    Tampa, United States AdventHealth Full time

    **All the benefits and perks you need for you and your family:** Paid Days Off from Day One Student Loan Repayment Program Career Development Whole Person Wellbeing Resources Mental Health Resources and Support **Our promise to you:** Joining AdventHealth is about being part of something bigger. Its about belonging to a community that believes in the...

  • Commercialization Manager II

    5 months ago

    Tampa, United States Refresco Full time

    Make a Difference in YOUR Career! Our vision is both simple and ambitious: to put our drinks on every table.   We are the leading global independent beverage solutions provider. We serve a broad range of national and international retailers as well as Global, National and Emerging (GNE) brands. Our products are distributed worldwide from our production...

  • Clinical Research Budget Negotiator II

    3 months ago

    Tampa, United States Moffitt Cancer Center Full time

    Req # 76550Position Highlights:The Clinical Research Budget Analyst II, will be expected to apply knowledge that supports Federal, State of Florida, commercial or privately funded research activities through research award management for the pre-award and post-award phases.The analyst negotiates study budgets and payment terms for new awards and negotiates...

  • Sales Associate II

    4 weeks ago

    Tampa, United States Tapestry Full time

    Position: Sales Associate Are you the right candidate for this opportunity Make sure to read the full description below. Location: Tampa, FL, US The Sales Associate role is an integral part of the store’s overall success and efficiency, demanding direct attention to our brand commitment when servicing our customers and driving results. Responsible for...

  • Ctrls Systems Designer II

    4 weeks ago

    Tampa, United States Johnson Controls Full time

    Ctrls Systems Designer II at Johnson Controls summary: As a Controls Systems Designer II, you will contribute to the design and programming of HVAC control systems, ensuring they meet project specifications. The role involves selecting hardware designs, performing software programming, and collaborating with various teams and subcontractors to ensure...

  • Medical Coder II

    5 days ago

    Tampa, United States BayCare Health System Full time

    BayCare is currently in search of our newest Team Member who is passionate about providing outstanding coding service to our community. Our network consists of 16 community-based hospitals, a long-term acute care facility, home health services, outpatient centers and thousands of physicians. With the support of more than 30,000 team members, we promote a...

  • Medical Coder II

    4 weeks ago

    Tampa, United States BayCare Health System Full time

    BayCare is currently in search of our newest Team Member who is passionate about providing outstanding coding service to our community. Our network consists of 16 community-based hospitals, a long-term acute care facility, home health services, outpatient centers and thousands of physicians. With the support of more than 30,000 team members, we promote a...

  • Sales Associate II Professional

    6 days ago

    Tampa, Florida, United States Coach Full time

    **About Us:** At Coach, we're a leading luxury fashion brand that values excellence and customer satisfaction. As a Sales Associate, you'll be at the forefront of delivering an exceptional shopping experience.">**Salary Estimate:** Based on national averages and industry standards, we estimate the annual salary for this role to be around $50,000 -...

  • Sales Associate II Professional

    6 days ago

    Tampa, Florida, United States Coach Full time

    **Job Overview:**As a Sales Associate at Coach, you'll contribute to the team by meeting customer needs through solution-oriented and forward thinking. You will discuss product features and build the sale by suggesting appropriate add-on items.**Key Responsibilities:Meet customer needs through effective communication and problem-solving skills.Discuss...

  • Member Advisor II

    4 weeks ago

    Tampa, United States Tampa Metropolitan Area YMCA Full time

    Working in a team-oriented, high-volume, fast-paced, member-centric environment, the Member Advisor II is the first impression and sets the stage for an exceptional member and guest experience. While demonstrating a welcoming, genuine, hopeful, nurturing and determined approach, the advisor greets all members and guests, ensures proper check-in procedures...

  • Member Advisor II

    1 month ago

    Tampa, United States Tampa Metropolitan Area YMCA Full time

    Working in a team-oriented, high-volume, fast-paced, member-centric environment, the Member Advisor II is the first impression and sets the stage for an exceptional member and guest experience. While demonstrating a welcoming, genuine, hopeful, nurturing and determined approach, the advisor greets all members and guests, ensures proper check-in procedures...

  • Security Officer II

    3 weeks ago

    Tampa, United States AdventHealth Carrollwood Full time $16 - $23

    All the benefits and perks you need for you and your family: Paid Days Off from Day One Student Loan Repayment Program Career Development Whole Person Wellbeing Resources Mental Health Resources and Support Our promise to you: Joining AdventHealth is about being part of something bigger. It’s about belonging to a community...

  • Security Officer II

    3 weeks ago

    Tampa, United States AdventHealth Carrollwood Full time $16 - $23

    All the benefits and perks you need for you and your family: Paid Days Off from Day One Student Loan Repayment Program Career Development Whole Person Wellbeing Resources Mental Health Resources and Support Our promise to you: Joining AdventHealth is about being part of something bigger. It’s about belonging to a community...

  • Sales Associate II

    4 months ago

    Tampa, United States Tapestry Full time

    The Sales Associate role is an integral part of the store's overall success and efficiency: demanding direct attention to our brand commitment when servicing our customers and driving results. Responsible for upholding Coach's Service and Selling Models, creating a positive first impression, building on-going customer relationships through a personalized...

  • Retail Customer Service Associate II

    4 weeks ago

    Tampa, United States Ikea US Full time

    ) - Creates a positive customer experience by ensuring accurate transactions and/or orders. Records information accurately so the resulting analysis can be used to make improvements to customers future shopping experience. - Meets customers' needs, Customer Service, Retail, Associate, Customer Experience, Service Learn More