Chief Compliance Officer

1 month ago


Chicago, United States Larson Maddox Full time

A rapidly growing Registered Investment Advisor is looking to bring on a new Chief Compliance Officer to their team. The ideal candidate will be someone who has 8+ years of experience working within a RIA, covering a variety of compliance matters and able to help build the framework at the firm. The role will be based in Chicago in a hybrid setting.

Responsibilities:

  • Oversee regulatory filings for the organization, such as Form ADVs, CRS, and BDs, as well as other state filings
  • Manage U4/U5 submissions for registered representatives
  • Perform periodic and monthly testing of compliance policies and procedures
  • Responsible for the surveillance program to monitor activity and identify any issues for potential escalation
  • Partner closely with the SEC and FINRA, as well as state agencies; strong knowledge of KYC and AML policies
  • Develop the compliance framework for the firm and implement in partnership with the executive team

Qualifications:

  • 8+ years of experience at a RIA or in Investment Management sector
  • Bachelors in Business, Finance, Pre-Law or Economics; MBA or JD preferred
  • Prior experience in implementation and maintenance of compliance programs at a RIA
  • Ability to work with executive team members and strategize on compliance policies
  • Certification such as a IAACP, CRCM, or CCEP is desired

Benefits:

  • Competitive compensation package
  • Medical, Vision, Dental & 401k
  • Strong PTO policy
  • Ability to grow and develop at a growing firm

If interested in the above, feel free to click the link to be put for immediate consideration



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