Larson Maddox
A leading investment management firm is seeking a
Senior Compliance Officer
to oversee key aspects of its compliance program. This role requires a deep understanding of investment advisory products, services, and the regulatory framework governing them. The successful candidate will manage routine and special projects within the Legal & Compliance Department and act as a subject matter expert on compliance controls. This role will require 3 days a week in office in Chicago.
Key Responsibilities: Oversee monitoring and testing Manage and complete regulatory filings such as Form ADV Review marketing materials, investor communications, and reports for compliance Investigate and resolve compliance issues; advise senior management and the board. Assess control design and effectiveness to mitigate compliance risk. Lead special projects related to policy updates, regulatory changes, and compliance solutions
Qualifications: Bachelor's degree required; JD a plus 7+ years of relevant experience Familiarity with the Investment Advisers Act of 1940 and/or Investment Company Act of 1940. Strong knowledge of regulatory and industry best practices in compliance, governance, and risk management
Senior Compliance Officer
to oversee key aspects of its compliance program. This role requires a deep understanding of investment advisory products, services, and the regulatory framework governing them. The successful candidate will manage routine and special projects within the Legal & Compliance Department and act as a subject matter expert on compliance controls. This role will require 3 days a week in office in Chicago.
Key Responsibilities: Oversee monitoring and testing Manage and complete regulatory filings such as Form ADV Review marketing materials, investor communications, and reports for compliance Investigate and resolve compliance issues; advise senior management and the board. Assess control design and effectiveness to mitigate compliance risk. Lead special projects related to policy updates, regulatory changes, and compliance solutions
Qualifications: Bachelor's degree required; JD a plus 7+ years of relevant experience Familiarity with the Investment Advisers Act of 1940 and/or Investment Company Act of 1940. Strong knowledge of regulatory and industry best practices in compliance, governance, and risk management