Deputy Chief Compliance Officer

This range is provided by Talently. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$140,000.00/yr - $170,000.00/yr

Job Title : Deputy Chief Compliance Officer

Location: Wheaton, IL (Onsite)

Compensation: $140K-170K+ Bonus

Skills: Securities Compliance, Strong knowledge of SEC Rules (including Investment Company Act of 1940 and Investment Advisers Act of 1940)

We are a trusted Financial Services company that needs an experienced Deputy Chief Compliance Officer to join our team. If you have 10+ years of experience and a passion for investment adviser and investment company compliance, then this may be a perfect fit for you!

In this role, you will:

• Review fund and affiliate compliance policies and procedures. Identify, analyze and mitigate risks by developing new/ improving existing compliance procedures.
• Supervise compliance testing and ensure compliance of affiliates, fund sub-advisors and service providers.
• Manage and review quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees.
• Review and revise existing compliance policies and procedures. Stay abreast of new rules and regulations and develop procedures and compliance oversight testing of such procedures. Update policies and compliance manuals.
• At the direction of the Chief Compliance Officer, assist in various compliance related matters.
• Be a subject matter expert and consult on compliance related issues. Help prepare and present ongoing training on compliance policies to the compliance team.
• Lead, mentor and advise the compliance team to ensure all objectives and deadlines are met.

Must Have Skills:

• 10 years of securities compliance, with working knowledge of SEC rules, including Investment Company Act of 1940 and Investment Advisers Act of 1940
• Bachelor’s Degree required
• Series 7 & Series 24 Required
• Currently in a senior role at an asset management/ investment company with Adviser Act compliance experience

Nice to Have Skills:

• Microsoft Office
• eGRC experience, preferably LogicManager

What's In It for You:

• $140K-170K+ Bonus

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

• Industries

  Financial Services, Investment Management, and Investment Banking

Referrals increase your chances of interviewing at Talently by 2x

Sign in to set job alerts for “Compliance Officer” roles.

Continue with Google Continue with Google

Continue with Google Continue with Google

Chicago, IL $86,000 - $107,000 5 hours ago

Chicago, IL $86,000 - $107,000 4 weeks ago

Senior Manager of Compliance Communications

Quality Compliance Manager, Manufacturing

Senior Export Compliance Manager, Global Trade Services

Chicago, IL
$109,000.00
-
$185,000.00
1 week ago

Senior Export Compliance Manager, Global Trade Services

Chicago, IL
$109,000.00
-
$185,000.00
1 week ago

Compliance and Operations Director - Aon Securities

Governance, Risk and Compliance Services - Technology Risk Manager

Chicago, IL
$109,000.00
-
$175,000.00
4 days ago

Chicago, IL
$95,400.00
-
$192,000.00
2 weeks ago

Deerfield, IL
$186,500.00
-
$320,000.00
1 month ago

Senior Risk Manager, Transportation Risk and Compliance

Chicago, IL
$109,000.00
-
$185,000.00
2 days ago

Risk Management - Environmental Credit Risk, Senior Associate

Chicago, IL
$109,000.00
-
$185,000.00
2 weeks ago

Compliance Program Manager, Enterprise Risk Management

Manager, IT Governance, Risk and Compliance

Niles, IL
$117,600.00
-
$220,000.00
1 week ago

Senior Program Manager - Governance, Risk, and Compliance

Sr. Manager of Brand Protection and eCommerce Compliance

Technology Compliance and Business Continuity Analyst

Chicago, IL $90,000 - $108,000 1 month ago

Import Compliance & Freight Logistics Manager

DuPage County, IL $90,440 - $133,952 1 week ago

Chicago, IL $125,000 - $150,000 4 days ago

VP Managed Investments & Fund Compliance

Chicago, IL $187,320 - $400,010 2 weeks ago

Chicago, IL $188,000 - $323,950 2 months ago

Senior Manager, Electricity Markets Registrations and Compliance

Chicago, IL $175,000 - $190,000 2 weeks ago

Vice President, People & Workplace Operations

Greater Chicago Area $252,500 - $290,000 1 week ago

Senior Manager of Technical Accounting and Financial Reporting

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

#J-18808-Ljbffr