Regulatory Compliance Specialist

2 weeks 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 team.

The Legal and Compliance division is tasked with providing thorough legal, regulatory, and compliance services and solutions to the organization and its subsidiaries. This position is situated within the Distribution Compliance subgroup, one of five divisions in the broader Legal and Compliance team, which also includes Investment Partner Oversight, Investment Management Compliance, Regulatory Compliance and Examinations, and Legal. The Distribution Compliance subgroup focuses on supporting the distribution and marketing functions of the organization. The primary responsibility of this role involves reviewing marketing and promotional materials, including content for social media. This role demands a keen eye for detail, exceptional organizational capabilities, and the capacity to juggle multiple tasks in a dynamic environment.

KEY RESPONSIBILITIES:

  • Evaluate marketing materials to ensure adherence to relevant regulatory standards (e.g., FINRA, SEC, NFA, GIPS) and submit materials to regulators as necessary.
  • Assess how existing regulations pertain to various types of communications, including but not limited to retail communications, institutional sales literature, and internal materials.
  • Draft 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.
  • Assist with various compliance monitoring tasks, including social media oversight.
  • Implement and refine compliance policies, procedures, and processes as directed.
  • Generate team reporting metrics.
  • Contribute to ad hoc 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.
  • SIE, Series 7, and Series 24 licenses are mandatory.
  • Experience in a manager-of-managers structure is advantageous.
  • Dedicated to upholding the highest ethical standards.

KNOWLEDGE, SKILLS & ABILITIES REQUIRED:

The ideal candidate will be intelligent, energetic, goal-oriented, and a conceptual thinker capable of quickly evaluating situations and exercising sound business judgment. The candidate should exhibit the following qualities:

  • 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 tools.
  • Technologically proficient with a solid understanding of Microsoft Excel.
  • Ability to work both independently and collaboratively under pressure, prioritizing competing tasks that require the utmost attention to detail and accuracy.
  • Collaborative spirit and strong interpersonal skills.
  • Pride in delivering high-quality work and meeting deadlines.
  • Commitment to continuous improvement and pursuit of ambitious goals.
  • Strong verbal and written communication skills.
  • Ability to prioritize and adapt focus based on departmental needs to support teamwork.
  • 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 regulations.

COMPENSATION & BENEFITS:

  • Health benefits
  • Generous PTO policy
  • Base salary for this role ranges from $100k to $130k, depending on experience

  • Regulatory Compliance Specialist

    3 days ago

    Chicago, Illinois, United States Daubert Chemical Co. Inc. Full time

    Job DescriptionDaubert Chemical Co. Inc. is a leading specialty chemical manufacturer seeking a highly skilled Regulatory Compliance Specialist to ensure global compliance with regulations and standards. The ideal candidate will have a strong background in regulatory affairs and a proven track record of ensuring compliance with international, national, and...

  • Specialist in Regulatory Compliance

    2 weeks ago

    Chicago, Illinois, United States Jobot Full time

    Exciting Opportunity in a Thriving IndustryAbout the Company:Jobot is a leading player in the Gaming and Cannabis sectors, seeking a talented Regulatory Compliance Specialist to enhance our dedicated team.Position: Regulatory Compliance SpecialistLocation: Chicago, ILRole Overview:We are on the lookout for a proactive Regulatory Compliance Specialist with a...

  • Regulatory Compliance Specialist

    2 weeks ago

    North Chicago, Illinois, United States ATR International Full time

    Position OverviewJob Title: Regulatory Compliance SpecialistType: ContractLocation: RemoteCompensation: Competitive hourly rate Role Responsibilities:The individual in this role will play a crucial part in the Regulatory Affairs department, assisting teams in the product registration process by preparing necessary documentation for global submissions.Key...

  • Regulatory Compliance Specialist

    2 weeks ago

    Chicago, Illinois, United States Mitchell Martin Inc. Full time

    Job Title: Compliance Associate (Investment Advisory & ERISA)Location: RemoteJob Overview:We are looking for a meticulous Compliance Associate to bolster our investment advisory division, ensuring adherence to regulatory standards, particularly those outlined by ERISA. The successful candidate will possess a background in investment advisory, coupled with a...

  • Regulatory Compliance Specialist

    2 weeks ago

    Chicago, Illinois, United States Mitchell Martin Inc. Full time

    Job Title: Compliance Advisor (Investment Advisory & ERISA, RIA)Location: Chicago, IL or Petersburg, FLPosition Overview:We are looking for a meticulous Compliance Advisor to assist our investment advisory division in maintaining adherence to regulatory standards, particularly those set forth by the SEC and ERISA. The successful candidate will possess a...

  • Regulatory Compliance Specialist

    2 weeks ago

    Chicago, Illinois, United States Mitchell Martin Inc. Full time

    Position Title: Compliance Associate (Investment Advisory & ERISA)Location: RemotePosition Overview:We are looking for a meticulous Compliance Associate to assist our investment advisory division in maintaining adherence to regulatory standards, particularly those outlined by ERISA. The successful candidate will possess a robust background in the investment...

  • Regulatory Compliance Officer

    2 weeks ago

    Chicago, Illinois, United States Addison Group Full time

    Job OverviewPosition: Compliance Specialist Location: Fully Remote – Operating on EST or CST hours. Sector: Wealth Management Compensation: $30 - $35/hrAbout Addison Group:Addison Group is a distinguished entity in the wealth management industry, dedicated to delivering extensive investment and financial advisory services. We are in the process of...

  • Regulatory Compliance Specialist

    2 weeks ago

    Chicago, Illinois, United States PSG Global Solutions Full time

    We are seeking a Regulatory Affairs Associate in the Biotechnology and Medical Devices sector.Position Overview: The primary responsibility of this role involves managing the submission of essential applications and overseeing all communications with governmental bodies related to the regulatory approval process for products that necessitate such...

  • Regulatory Compliance Specialist

    2 weeks ago

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

    Position OverviewHarrison Gray Search & Consulting is collaborating with a distinguished investment management firm to identify a key addition to their Compliance division.The Legal and Compliance department is tasked with providing thorough legal, regulatory, and compliance support to our organization and its affiliates. This position is situated within the...

  • Regulatory Compliance Specialist

    1 week ago

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

    Job OverviewHarrison 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...

  • Regulatory Compliance Specialist

    2 weeks ago

    Chicago, Illinois, United States PSG Global Solutions Full time

    We are seeking a Regulatory Affairs Associate within the Biotechnology and Medical Devices sector.Position Overview:In this role, you will be accountable for managing the submission of essential applications and overseeing all interactions with regulatory bodies concerning the approval process for products that necessitate governmental authorization.Your...

  • Regulatory Compliance Specialist

    2 weeks ago

    Chicago, Illinois, United States PSG Global Solutions Full time

    We are seeking a Regulatory Affairs Associate in the Biotechnology/Medical Devices sector.Position Overview: The primary responsibility of this role involves managing the submission of essential applications and overseeing all governmental communications related to the regulatory approval process for products that necessitate official authorization.Key...

  • Gaming and Cannabis Regulatory Compliance Advisor

    2 weeks ago

    Chicago, Illinois, United States Jobot Full time

    Exciting Opportunity with a Leading Gaming and Cannabis CompanyCompany Overview:We are a prominent player in the gaming and cannabis sectors, seeking a talented Regulatory Compliance Specialist to enhance our team in Chicago, IL.Position: Regulatory Compliance SpecialistLocation: Chicago, ILRole Overview:We are on the lookout for a proactive Regulatory...

  • Regulatory Compliance Specialist

    1 week ago

    Chicago, Illinois, United States Globe Life AIL - Demetrios Danilis Full time

    Job DescriptionUnlock Your Potential as a Sales Regulator Agent at Globe Life AIL - Demetrios DanilisAbout the RoleWe are seeking a meticulous and proactive Sales Regulator Agent to join our team and drive our commitment to excellence in sales operations. As a Sales Regulator Agent, you will play a crucial role in maintaining the integrity and effectiveness...

  • Regulatory Compliance Specialist

    1 week ago

    Chicago, Illinois, United States Globe Life AIL - Demetrios Danilis Full time

    Job DescriptionUnlock Your Potential as a Sales Regulator Agent at Globe Life AIL - Demetrios DanilisAbout the RoleWe are seeking a meticulous and proactive Sales Regulator Agent to join our team and drive our commitment to excellence in sales operations.Why Globe Life AIL - Demetrios Danilis?We're dedicated to creating a transparent and ethical environment,...

  • Regulatory Compliance Specialist

    2 weeks ago

    Chicago, Illinois, United States Deerpath Capital Management Full time

    Job OverviewCompany BackgroundDeerpath Capital is a prominent direct lending firm that specializes in providing first lien senior debt financing to middle market enterprises. The firm is dedicated to supplying debt capital for acquisitions, refinancings, ownership transitions, and growth capital to companies within the U.S. lower middle market. With...

  • Regulatory Compliance Specialist

    2 weeks ago

    North Chicago, Illinois, United States SPECTRAFORCE Full time

    Job Title: Regulatory Affairs AssociateLocation: RemoteDuration: 03+ monthsCan be fully remote or hybridPosition Overview:In this role, you will play a crucial part in the management and organization of documentation for regulatory submissions under general supervision.Evaluate and analyze technical and scientific data necessary for submissions that support...

  • Regulatory Compliance Manager

    18 hours ago

    Chicago, Illinois, United States RSM Full time

    About the RoleRSM is seeking a highly skilled Regulatory Compliance Manager to join our Risk Advisory Services practice. As a key member of our team, you will be responsible for leading and delivering regulatory compliance internal audits, assessments, and other services to clients within the financial services industry.Key ResponsibilitiesDevelop and...

  • Regulatory Compliance Analyst

    2 weeks ago

    Chicago, Illinois, United States Addison Group Full time

    Regulatory Compliance AnalystLocation: 100% Remote – Will be working on EST or CST time.Industry: Wealth ManagementPay: $30 - $35/hrAbout Addison Group:Addison Group is a distinguished firm in the wealth management industry, dedicated to delivering extensive investment and financial planning solutions. As they expand their workforce, they are seeking a...

  • Regulatory Compliance Analyst

    1 week ago

    Chicago, Illinois, United States Addison Group Full time

    Regulatory Compliance AnalystLocation: 100% Remote – Operating on EST or CST time.Industry: Wealth ManagementPay: $30 - $35/hrAbout Addison Group:Addison Group is a distinguished firm in the wealth management industry, dedicated to delivering extensive investment and financial planning solutions. As the organization expands, we are seeking a Regulatory...