Chief Compliance Officer

4 weeks ago

Chicago, United States Larson Maddox Full time

Key Accountabilities:

  • Conduct the trust’s annual compliance program review, report findings, propose procedural changes to management, and ensure timely implementation of changes.
  • Identify and correct deficiencies in compliance processes and procedures that may lead to internal and/or regulatory non-compliance.
  • Collaborate with portfolio managers, advisors, marketing, and operations to resolve compliance issues or provide recommendations.
  • Perform compliance monitoring test work over the funds’ investment adviser(s) in an oversight capacity for assigned trusts, including on-site due diligence visits. Focus areas include portfolio compliance, best execution, proxy voting, liquidity, and soft dollars.
  • Execute compliance monitoring test work on behalf of the trust, including market timing, code of ethics, compliance with trust procedures, and annual testing and reporting.
  • Conduct periodic testing pertaining to compliance programs and related policies and procedures of service providers.
  • Participate in risk management activities, monitor the effectiveness of internal departmental controls and procedures, and review results of regulatory examinations and internal or external audits or testing.
  • Coordinate responses to SEC and other regulatory examinations and inquiries related to the organization, its fund clients, and their advisers.
  • Assist in monitoring, reviewing, communicating, and implementing changes to federal securities laws, especially those requiring revisions to fund or service provider policies and procedures.
  • Provide compliance consulting and other services for investment advisers and other entities as needed.


Education and Experience:

  • Bachelor’s degree or equivalent.
  • 10 years of experience in the mutual fund or investment advisory industry.
  • 5 years of relevant industry experience in mutual fund or investment advisor compliance.
  • CPA, CFA, law license, FINRA registration, and/or compliance certification preferred.


Knowledge:

  • Strong knowledge and understanding of the Investment Company Act of 1940.
  • Working knowledge of the Investment Advisers Act of 1940.
  • Proficiency in Microsoft Office Suite and Adobe Acrobat.

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