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Regulatory Compliance Specialist

2 months ago

Chicago, Illinois, United States Harrison Gray Search & Consulting Full time
Job Overview

Harrison Gray Search & Consulting is collaborating with a distinguished investment management firm to identify a new member for their Compliance division.

The Legal and Compliance department is tasked with providing thorough legal, regulatory, and compliance services and solutions to our organization and its affiliates. This position is situated within the Distribution Compliance subgroup, one of five divisions in the broader Legal and Compliance team (the other divisions include Investment Partner Oversight, Investment Management Compliance, Regulatory Compliance and Examinations, and Legal). The Distribution Compliance subgroup focuses on supporting the distribution and marketing operations within the organization. The primary responsibility of this role is to evaluate marketing and promotional materials, including content for social media. This role demands exceptional attention to detail, outstanding organizational abilities, and the capacity to handle multiple responsibilities concurrently in a dynamic environment.

KEY RESPONSIBILITIES:

  • Assess marketing materials to ensure adherence to relevant regulatory standards (e.g., FINRA, SEC, NFA, GIPS) and submit materials to regulators as necessary.
  • Interpret how existing regulations apply to various forms of communications, including but not limited to retail communications, institutional sales literature, and internal documentation.
  • Compose new disclosure language as required and maintain a database of disclosures.
  • Support the management, development, and delivery of training resources.
  • Work closely with the Marketing and Distribution teams on new projects, including social media initiatives.
  • Participate in various compliance monitoring activities, including those related to social media.
  • Implement and refine compliance policies, procedures, and processes as directed.
  • Generate team reporting metrics.
  • Assist with special projects as needed.

KEY BEHAVIORAL EXPECTATIONS:

  • Results-Oriented
  • Fosters a Collaborative Culture
  • Effective Communication & Engagement
  • Encourages Innovation
  • Strategic Thinker
  • Agile & Adaptable

MINIMUM QUALIFICATIONS:

  • Bachelor's Degree or equivalent experience required.
  • A minimum of 5 years of compliance experience in a financial services firm or law firm, including experience in advertising review related to mutual funds, ETFs, and multi-asset products and solutions.
  • SIE, Series 7, and Series 24 licenses are mandatory.
  • Experience in a manager-of-managers structure is a plus.
  • Dedicated to upholding the highest ethical standards.

KNOWLEDGE, SKILLS & ABILITIES REQUIRED:

The ideal candidate will be intelligent, energetic, goal-oriented, and a conceptual thinker with the ability to quickly assess situations and exercise sound business judgment. The candidate should possess the following attributes:

  • Meticulous attention to detail.
  • Proactive and independent self-starter with a positive attitude and the ability to follow through and complete tasks in a team setting.
  • Familiarity with advertising review software, such as Red Oak or similar.
  • Technologically adept with a solid understanding of Microsoft Excel.
  • Ability to work independently and collaboratively under pressure, prioritizing competing tasks that require the highest level of detail and accuracy.
  • Cooperative attitude and strong interpersonal skills.
  • Pride in delivering high-quality work and meeting deadlines.
  • Commitment to continuous improvement and pursuit of challenging objectives.
  • Strong oral and written communication skills.
  • Ability to prioritize and adapt focus based on departmental needs to support teamwork.
  • An interest in a compliance career path within the financial services sector and understanding of the laws governing its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and FINRA rules and regulations.

COMPENSATION & BENEFITS:

  • Health benefits
  • Generous PTO policy
  • Base salary for this role, which is just one component of compensation, is $100k-$130k, dependent on experience