Senior Securities Compliance Officer

4 weeks ago


Wheaton, Missouri, United States Talently Recruiting Full time
Job Title: Senior Securities Compliance Officer

Location: Remote

Compensation: $140K-170K+ Bonus

About the Role: We are seeking an experienced Senior Securities Compliance Officer to join our team at Talently Recruiting. The ideal candidate will have 10+ years of experience in securities compliance, with a strong knowledge of SEC rules, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940.

Key Responsibilities:

* Review fund and affiliate compliance policies and procedures
* Identify, analyze, and mitigate risks by developing new or improving existing compliance procedures
* Supervise compliance testing and ensure compliance of affiliates, fund sub-advisors, and service providers
* Manage and review quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees
* Review and revise existing compliance policies and procedures
* Stay abreast of new rules and regulations and develop procedures and compliance oversight testing of such procedures
* Update policies and compliance manuals

Requirements:

* 10 years of securities compliance experience
* Strong knowledge of SEC rules, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940
* Bachelor's Degree required
* Series 7 & Series 24 Required
* Currently in a senior role at an asset management/investment company with Adviser Act compliance experience

What's In It for You:

* $140K-170K+ Bonus
* Health Benefits

About Us: Talently Recruiting is a trusted Financial Services company that values expertise and experience. We offer a dynamic work environment and opportunities for growth and development.

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