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Compliance Specialist

1 month ago

Chicago, Illinois, United States Fiducient Advisors Full time

Fiducient Advisors is a trusted investment consulting firm that delivers tailored services to clients nationwide. With over 200 professionals, we support our purpose of helping clients prosper.

We are seeking an exceptional Compliance Officer who will assist the Compliance Manager in ensuring regulatory compliance and drive initiatives for improved client service and risk reduction.

The ideal candidate will be responsible for:

  • Reviewing marketing campaigns to ensure compliance with regulatory requirements and providing timely and accurate responses
  • Working with business teams on implementing regulatory changes
  • Interpreting and administering the Firm's Code of Ethics for personal trading and employee reporting
  • Assisting with electronic communication reviews and conducting compliance testing
  • Preparing and submitting regulatory filings and disclosure documents
  • Providing support for internal and external audits and examinations
  • Conducting oversight and due diligence on critical vendors

This role requires strong experience in investment advisory compliance, specifically in conducting marketing reviews and working with Institutional marketing materials. The ideal candidate will possess a Bachelor's degree and 3-8 years of relevant experience, as well as proficiency in Microsoft Suite.

What We Offer

A workplace that values authenticity and acceptance, committed to diversity, equity, inclusion, and belonging. We provide a hybrid work model with three days in our office and two days remotely.

Paid Time Off

  • Generous PTO with optional rollover
  • Personal/Sick Time
  • 10 Holidays with additional half days off throughout the year
  • Bereavement Time –inclusive time off for a loved one, unborn child, or pet
  • Employer Paid Parental, Personal and Family leaves

Estimated Salary Range: $70,000 - $110,000 per annum, depending on location and experience.