Compliance Manager

3 weeks ago


Chicago, United States Larson Maddox Full time

Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Officer to join the team and work alongside the Compliance Manager, Chief Compliance Officer & General Counsel, and Chief Operating Officer. In this role, you will be responsible for ensuring that the firm is in compliance with all applicable laws, regulations, and policies related to the investment advisory industry.


Responsibilities:

  • Conduct regular compliance reviews to ensure that the firm is operating in accordance with all applicable laws and regulations.
  • Assist with preparing and submitting regulatory filings, including Form ADV, Form PF, and other required disclosures.
  • Administer the Code of Ethics compliance program using Orion Technology
  • Stay up-to-date with changes in laws and regulations that affect the investment advisory industry.
  • Assist with compliance training to employees on a regular basis.
  • Participate in the development and implementation of new products and services, ensuring that they comply with all regulatory requirements.
  • Act as a liaison with regulatory agencies and respond to inquiries and requests for information.


Qualifications:

  • Bachelor's degree in business, finance, or a related field.
  • 4-6 years of experience in compliance at an RIA or similar financial services firm.
  • Knowledge of SEC and state investment adviser regulations.
  • Strong work ethic and self-starter mentality.


If you are a highly motivated and detail-oriented compliance professional with experience in the investment advisory industry, we encourage you to apply for this exciting opportunity.



  • Chicago, United States Harbor Compliance Full time

    Elevate Your Career at Harbor Compliance! Location: Full-time Remote (Excluding CA, CO, MT, NY) About Harbor Compliance: Harbor Compliance is a trailblazer in the compliance sector, dedicated to simplifying the complexities of business licensing and legal entity management for nonprofits and businesses. A recognized leader with accolades from Inc. 5000 and...

  • Compliance Manager

    4 weeks ago


    Chicago, United States Larson Maddox Full time

    Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Officer to join the team and work alongside the Compliance Manager, Chief Compliance Officer & General Counsel, and Chief Operating...

  • Compliance Manager

    4 weeks ago


    Chicago, United States Larson Maddox Full time

    Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Officer to join the team and work alongside the Compliance Manager, Chief Compliance Officer & General Counsel, and Chief Operating...

  • Compliance Manager

    4 days ago


    Chicago, United States Larson Maddox Full time

    Responsibilities:Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.Oversee the registration and ongoing compliance obligations of alternative investment vehicles registered under the Investment Company Act of 1940, including Board reporting, in coordination with legal counsel and external service...

  • Compliance Manager

    5 days ago


    Chicago, United States Larson Maddox Full time

    Responsibilities:Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.Oversee the registration and ongoing compliance obligations of alternative investment vehicles registered under the Investment Company Act of 1940, including Board reporting, in coordination with legal counsel and external service...

  • Compliance Manager

    2 days ago


    Chicago, United States Larson Maddox Full time

    Responsibilities:Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.Oversee the registration and ongoing compliance obligations of alternative investment vehicles registered under the Investment Company Act of 1940, including Board reporting, in coordination with legal counsel and external service...

  • Compliance Manager

    24 hours ago


    Chicago, United States Larson Maddox Full time

    Responsibilities:Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.Oversee the registration and ongoing compliance obligations of alternative investment vehicles registered under the Investment Company Act of 1940, including Board reporting, in coordination with legal counsel and external service...

  • Compliance Manager

    3 weeks ago


    Chicago, United States Larson Maddox Full time

    Responsibilities:Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.Identify risks, assess mitigating controls, and make recommendations to improve the control environment.Follow up on open issues and ensure their resolution.Prepare various regulatory filings.Create, implement, review, and analyze...

  • Compliance Manager

    3 weeks ago


    Chicago, United States Larson Maddox Full time

    Responsibilities:Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.Identify risks, assess mitigating controls, and make recommendations to improve the control environment.Follow up on open issues and ensure their resolution.Prepare various regulatory filings.Create, implement, review, and analyze...

  • Compliance Manager

    3 weeks ago


    Chicago, United States Larson Maddox Full time

    Responsibilities:Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.Identify risks, assess mitigating controls, and make recommendations to improve the control environment.Follow up on open issues and ensure their resolution.Prepare various regulatory filings.Create, implement, review, and analyze...


  • Chicago, United States CIBC Bank USA Full time

    The Compliance Risk Manager will be responsible for the execution and maintenance of programs within the Regulatory Compliance Management (RCM) framework for CIBC Bank USA. Primary programs within the framework include risk assessments, issues manage Risk, Manager, Compliance, Compliance Officer, Business, Management, Accounting

  • HR Compliance Manager

    2 weeks ago


    Chicago, United States AMLI Residential Full time

    Are you looking for a challenging and rewarding opportunity in Human Resources? AMLI Residential is seeking a HR Compliance Manager to join our team in Chicago. In this role, you will be responsible for building and implementing a comprehensive strat Compliance Manager, Manager, Compliance, HR, Property Management, Business Services, Training

  • HR Compliance Manager

    2 weeks ago


    Chicago, United States AMLI Residential Full time

    Are you looking for a challenging and rewarding opportunity in Human Resources? AMLI Residential is seeking a HR Compliance Manager to join our team in Chicago. In this role, you will be responsible for building and implementing a comprehensive strategic plan to ensure that all HR employment law compliance and company policies are adhered to. As the HR...


  • Chicago, United States AMLI Residential Full time

    Are you looking for a challenging and rewarding opportunity in Human Resources? AMLI Residential is seeking a HR Compliance Manager to join our team in Chicago. In this role, you will be responsible for building and implementing a comprehensive strategic plan to ensure that all HR employment law compliance and company policies are adhered to. As the HR...

  • HR Compliance Manager

    3 weeks ago


    Chicago, United States AMLI Residential Full time

    Are you looking for a challenging and rewarding opportunity in Human Resources? AMLI Residential is seeking a HR Compliance Manager to join our team in Chicago. In this role, you will be responsible for building and implementing a comprehensive strategic plan to ensure that all HR employment law compliance and company policies are adhered to. As the HR...

  • HR Compliance Manager

    2 weeks ago


    Chicago, United States AMLI Residential Full time

    Are you looking for a challenging and rewarding opportunity in Human Resources? AMLI Residential is seeking a HR Compliance Manager to join our team in Chicago. In this role, you will be responsible for building and implementing a comprehensive strategic plan to ensure that all HR employment law compliance and company policies are adhered to. This position...

  • HR Compliance Manager

    2 weeks ago


    Chicago, United States Compass Group USA Full time

    HR Compliance ManagerClick Here to Apply OnlineJob Description Levy Sector Different perspectives make us better. We're committed to creating an equal opportunity and fair treatment environment, where learning and growing together is just part of our every day. An environment where you can be your authentic self. About LevyThe disruptor in defining the...


  • Chicago, United States Compass Group USA Full time

    HR Compliance ManagerClick Here to Apply OnlineJob Description Levy Sector Different perspectives make us better. We're committed to creating an equal opportunity and fair treatment environment, where learning and growing together is just part of our every day. An environment where you can be your authentic self. About LevyThe disruptor in defining the...


  • Chicago, United States AURA STAFFING PARTNERS CHICAGO LLC Full time

    Job DescriptionJob Description Hospital Quality & Compliance ManagerSUMMARYThe Quality & Compliance Manager plans, directs, and evaluates patient care; facilitates quality improvement efforts and regulatory requirements among the Medical Staff and Hospital departments through data collection, aggregation, analysis and reporting.ESSENTIAL QUALITY MANAGER...


  • Chicago, United States AURA STAFFING PARTNERS CHICAGO LLC Full time

    Job DescriptionJob Description Hospital Quality & Compliance ManagerSUMMARYThe Quality & Compliance Manager plans, directs, and evaluates patient care; facilitates quality improvement efforts and regulatory requirements among the Medical Staff and Hospital departments through data collection, aggregation, analysis and reporting.ESSENTIAL QUALITY MANAGER...