Chief Compliance Officer (Hybrid – Greater Chicago Area)
Base Salary: $275,000–$300,000
A leading quantitative investment firm is seeking a seasoned Chief Compliance Officer to oversee and enhance its compliance program. This hybrid role offers the opportunity to work closely with executive leadership and investment professionals in a dynamic, data-driven environment.
Key Responsibilities:
- Lead the firm’s compliance program, ensuring adherence to the Investment Advisers Act of 1940 and other applicable regulations.
- Serve as the primary liaison with regulatory bodies, including the SEC.
- Develop, implement, and monitor policies and procedures to ensure firm-wide compliance.
- Conduct internal audits, risk assessments, and compliance training.
- Oversee marketing reviews, code of ethics administration, and personal trading policies.
- Manage regulatory filings, including Form ADV, Form PF, and other disclosures.
- Collaborate with legal, operations, and investment teams to support business initiatives while mitigating compliance risk.
Qualifications:
- 10+ years of experience in investment management compliance, with deep expertise in the Investment Advisers Act of 1940.
- Prior experience as a CCO or senior compliance leader at a registered investment adviser.
- Strong understanding of quantitative strategies, private funds, and regulatory reporting.
- Excellent judgment, communication, and leadership skills.
Additional Information:
Personal Time Off (PTO) is offered on an accrual basis up to 184 hours a year, 13 Paid Holidays, and up to 6 weeks of Paid Parental Leave. PTO and holiday hours are prorated based on hire date within the calendar year.
Paid Sick Leave
Benefit offerings for full-time employment include medical, dental, vision, term life and AD&D insurance, short-term and long-term disability, additional voluntary benefits, commuter benefits, wellness plans, and a 401k plan
Annual discretionary bonus based on individual performance
Equal Opportunity Employer/Veterans/Disabled
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The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable:
• The California Fair Chance Act
• Los Angeles City Fair Chance Ordinance
• Los Angeles County Fair Chance Ordinance for Employers
• San Francisco Fair Chance Ordinance
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