Compliance Specialist
3 weeks ago
CI Segall Bryant & Hamill is a leading investment firm with a strong commitment to compliance and regulatory affairs. We are seeking a highly skilled Compliance Specialist to join our Asset Management team.
The ideal candidate will have experience with securities laws, rules, and regulations applicable to registered investment advisers and private fund offerings. They will possess a strong understanding of the business operations, practices, procedures, and controls specific to the business units supported.
The Compliance Specialist will be responsible for maintaining, updating, and overseeing compliance monitoring tools to ensure adherence to client guidelines and the enforcement of the Code of Ethics and Compliance Manual. They will also analyze client investment guidelines to implement and monitor investment restrictions, compile data requirements for financial and regulatory reporting, and collaborate with the Compliance team on review of regulations and updates to regulatory documents, policies, and procedures.
This is an exciting opportunity to join a dynamic team and make a significant impact on our firm's success and reputation. The Compliance Specialist will work closely with the Compliance Manager - Asset Management to deliver projects and operate successfully in a cross-functional team environment.
Key Responsibilities:
- Maintain and update compliance monitoring tools to ensure adherence to client guidelines and regulatory requirements.
- Analyze client investment guidelines to implement and monitor investment restrictions.
- Compile data requirements for financial and regulatory reporting.
- Collaborate with the Compliance team on review of regulations and updates to regulatory documents, policies, and procedures.
Requirements:
- Bachelor's Degree in a business-related field, with additional certifications a plus.
- 2 years of experience in compliance with a registered investment adviser, preferably with asset management industry knowledge.
- Strong writing and verbal communication skills.
- Ability to work on multiple projects while meeting competing deadlines.
- Effective analytical abilities, including solid research skills and the ability to recommend solutions.
What We Offer:
- A dynamic and inclusive work environment where individuals from varied backgrounds are valued and supported.
- A culture defined by a core set of values: Integrity, Trust, Humility, Curiosity, and Inclusion.
- Autonomy and accountability in a fast-paced and challenging environment.
- A competitive compensation package and benefits to meet each employee's needs.
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