Compliance Associate

3 weeks ago

Chicago, United States Calamos Asset Management Full time

Summary:

The Compliance Associate is responsible for a variety of tasks in support of the Compliance Department's general operations. This position oversees employee affirmations and questionnaires, FINRA registrations, as well as a variety of ad-hoc assignments and projects.

Primary Responsibilities:

* Serves as a point person for new hire onboarding requirements and one-on-one meetings.

* Administrator of Compliance Monitoring System, StarCompliance. Includes coordinating and testing version updates, identifying and implementing ways to streamline processes, escalating and managing issues, as necessary.* Serves as point person for employee surveillance: Includes brokerage account monitoring, reviewing daily exceptions, outside business activities, and political contributions. Escalate concerns as necessary, including issuance of code violations or other disciplinary actions.* Approval and oversight for gifts and entertainment reporting.* Distributes and reviews affirmations including quarterly and annual compliance affirmations, and other required acknowledgements, as needed, for compliance with firm policies and procedures.* Assists the legal team with providing PM and Officer holdings and other information, as requested, for necessary filings.* Coordinates the annual Form ADV mailing with the various client relationship groups.* Assists in document gathering and provides support during periodic regulatory exams and internal audits.* Responsible for FINRA registrations and assist with regulatory and ad hoc firm filings.* Assist in interpreting regulatory developments and their impact on systems and controls.* Performs special projects and other related duties, as assigned.

Preferred Qualifications:

* Bachelor's Degree preferred or equivalent work experience.

* 3-5 years compliance experience (with investment advisor act experience preferred).* Securities Industry Essentials (SIE) exam and Series 6/7.* Detail oriented with strong organizational and follow-through skills.* Team oriented and willingness to share ideas.* Strong computer skills in Microsoft Word, Excel, Outlook, and PowerPoint. #J-18808-Ljbffr

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