Pinnacle Career Coaching
Pinnacle Career Coaching provided pay range: This range is provided by Pinnacle Career Coaching. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range: $110,000.00/yr - $130,000.00/yr
Director @ Pinnacle, Financial Services Recruitment & Career Coaching We've partnered exclusively with a fast‑growing Wealth and Investment Management firm in Chicago who are looking for a Compliance Officer to join their team. This role is 5 days per week on‑site inside the loop in Chicago and provides a great platform for development in a growing team and business.
Regulatory & SEC Compliance Support
Assist with maintaining the firm’s compliance program in accordance with SEC Rule 206(4)-7, including support for annual compliance reviews.
Support adherence to the Investment Advisers Act of 1940, including fiduciary duty obligations.
Assist with the administration of the firm’s Code of Ethics under SEC Rule 204A-1, including personal trading reports, attestations, and conflict disclosures.
Help maintain required books and records in compliance with SEC Rule 204-2.
Support updates, reviews, and filings of Form ADV Parts 1, 2A, and 2B, under supervision.
Assist in reviewing marketing and advertising materials for compliance with the SEC Marketing Rule (Rule 206(4)-1).
Provide support related to Custody Rule (Rule 206(4)-2) processes, including documentation and coordination with custodians as needed.
Perform routine compliance monitoring and testing activities, including account reviews, trade surveillance, and documentation checks.
Serve as a point of contact for basic compliance questions from advisors and staff, escalating issues as appropriate.
Required Qualifications
Bachelor’s degree in Finance, Business, Legal Studies, or a related field.
3 + years of experience in compliance for an Investment Management or Wealth Management institution.
Good working knowledge of the Investment Advisers Act of 1940 and SEC rules applicable to RIAs.
Progress toward or interest in professional certifications (e.g., IACCP, CCEP, CRCM) or securities licensing (Series 66).
For more information, please contact Thomas Byrne at thomas@pinnaclecareercoach.com
Seniority level Associate
Employment type Full‑time
Job function Legal
Industry: Investment Management and Financial Services
Location Chicago, IL
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Chicago, IL .
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Base pay range: $110,000.00/yr - $130,000.00/yr
Director @ Pinnacle, Financial Services Recruitment & Career Coaching We've partnered exclusively with a fast‑growing Wealth and Investment Management firm in Chicago who are looking for a Compliance Officer to join their team. This role is 5 days per week on‑site inside the loop in Chicago and provides a great platform for development in a growing team and business.
Regulatory & SEC Compliance Support
Assist with maintaining the firm’s compliance program in accordance with SEC Rule 206(4)-7, including support for annual compliance reviews.
Support adherence to the Investment Advisers Act of 1940, including fiduciary duty obligations.
Assist with the administration of the firm’s Code of Ethics under SEC Rule 204A-1, including personal trading reports, attestations, and conflict disclosures.
Help maintain required books and records in compliance with SEC Rule 204-2.
Support updates, reviews, and filings of Form ADV Parts 1, 2A, and 2B, under supervision.
Assist in reviewing marketing and advertising materials for compliance with the SEC Marketing Rule (Rule 206(4)-1).
Provide support related to Custody Rule (Rule 206(4)-2) processes, including documentation and coordination with custodians as needed.
Perform routine compliance monitoring and testing activities, including account reviews, trade surveillance, and documentation checks.
Serve as a point of contact for basic compliance questions from advisors and staff, escalating issues as appropriate.
Required Qualifications
Bachelor’s degree in Finance, Business, Legal Studies, or a related field.
3 + years of experience in compliance for an Investment Management or Wealth Management institution.
Good working knowledge of the Investment Advisers Act of 1940 and SEC rules applicable to RIAs.
Progress toward or interest in professional certifications (e.g., IACCP, CCEP, CRCM) or securities licensing (Series 66).
For more information, please contact Thomas Byrne at thomas@pinnaclecareercoach.com
Seniority level Associate
Employment type Full‑time
Job function Legal
Industry: Investment Management and Financial Services
Location Chicago, IL
Get notified about new Compliance Officer jobs in
Chicago, IL .
#J-18808-Ljbffr