Talently
Job Details
Job Title : Deputy Chief Compliance Officer Location : Wheaton, IL (Onsite) Compensation : $140K-170K+ Bonus Note : The pay range provided by Talently is a guide; your actual pay will be based on skills and experience. Skills : Securities Compliance, strong knowledge of SEC Rules (Investment Company Act of 1940; Investment Advisers Act of 1940) We are a trusted Financial Services company seeking 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, this may be a perfect fit. In this role, you will Review fund and affiliate compliance policies and procedures; identify, analyze and mitigate risks by developing new or 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 oversight testing and updated policies and manuals. Assist in various compliance-related matters at the direction of the Chief Compliance Officer. Serve as a subject matter expert and consult on compliance issues; help prepare and present ongoing training on policies to the compliance team. Lead, mentor and advise the compliance team to ensure objectives and deadlines are met. Must Have Skills 10 years of securities compliance experience with working knowledge of SEC rules, including the Investment Company Act of 1940 and the 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 Mid-Senior level Employment type Full-time Job function Finance Industries: Financial Services, Investment Management, and Investment Banking We’re highlighting opportunities to help you understand what the role entails. Referrals increase your chances of interviewing at Talently.
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Job Title : Deputy Chief Compliance Officer Location : Wheaton, IL (Onsite) Compensation : $140K-170K+ Bonus Note : The pay range provided by Talently is a guide; your actual pay will be based on skills and experience. Skills : Securities Compliance, strong knowledge of SEC Rules (Investment Company Act of 1940; Investment Advisers Act of 1940) We are a trusted Financial Services company seeking 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, this may be a perfect fit. In this role, you will Review fund and affiliate compliance policies and procedures; identify, analyze and mitigate risks by developing new or 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 oversight testing and updated policies and manuals. Assist in various compliance-related matters at the direction of the Chief Compliance Officer. Serve as a subject matter expert and consult on compliance issues; help prepare and present ongoing training on policies to the compliance team. Lead, mentor and advise the compliance team to ensure objectives and deadlines are met. Must Have Skills 10 years of securities compliance experience with working knowledge of SEC rules, including the Investment Company Act of 1940 and the 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 Mid-Senior level Employment type Full-time Job function Finance Industries: Financial Services, Investment Management, and Investment Banking We’re highlighting opportunities to help you understand what the role entails. Referrals increase your chances of interviewing at Talently.
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