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Chief Compliance Officer

2 months ago

Chicago, Illinois, United States Larson Maddox Full time

{"h1": "Chief Compliance Officer at Larson Maddox", "p": "Larson Maddox, a rapidly growing Registered Investment Advisor, is seeking a Chief Compliance Officer to join their team. This is a hybrid role based in Chicago, offering a competitive salary of USD 225,000 per annum.

Responsibilities:

* Oversee regulatory filings, including 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
* Bachelor's 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

If you are interested in this role, please click the link to be considered for immediate placement.", "lang_code": "en"}