Talently
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 levelMid-Senior level Employment type
Employment typeFull-time Job function
Job functionFinance IndustriesFinancial 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 CommunicationsQuality Compliance Manager, ManufacturingSenior Export Compliance Manager, Global Trade Services Chicago, IL
Apply below after reading through all the details and supporting information regarding this job opportunity. $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 SecuritiesGovernance, 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 ManagementManager, IT Governance, Risk and Compliance Niles, IL $117,600.00 - $220,000.00 1 week ago Senior Program Manager - Governance, Risk, and ComplianceSr. Manager of Brand Protection and eCommerce ComplianceTechnology 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.
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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 levelMid-Senior level Employment type
Employment typeFull-time Job function
Job functionFinance IndustriesFinancial 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 CommunicationsQuality Compliance Manager, ManufacturingSenior Export Compliance Manager, Global Trade Services Chicago, IL
Apply below after reading through all the details and supporting information regarding this job opportunity. $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 SecuritiesGovernance, 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 ManagementManager, IT Governance, Risk and Compliance Niles, IL $117,600.00 - $220,000.00 1 week ago Senior Program Manager - Governance, Risk, and ComplianceSr. Manager of Brand Protection and eCommerce ComplianceTechnology 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