Deputy Chief Compliance Officer Job at Talently, Wheaton, IL

QWRRc3N3QzkyY0JMdjNHVThobTBHRDNz
  • Talently
  • Wheaton, IL

Job Description

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:

  1. Review fund and affiliate compliance policies and procedures. Identify, analyze and mitigate risks by developing new/ improving existing compliance procedures.
  2. Supervise compliance testing and ensure compliance of affiliates, fund sub-advisors and service providers.
  3. Manage and review quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees.
  4. 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.
  5. At the direction of the Chief Compliance Officer, assist in various compliance related matters.
  6. Be a subject matter expert and consult on compliance related issues. Help prepare and present ongoing training on compliance policies to the compliance team.
  7. Lead, mentor and advise the compliance team to ensure all objectives and deadlines are met.

Must Have Skills:

  1. 10 years of securities compliance, with working knowledge of SEC rules, including Investment Company Act of 1940 and Investment Advisers Act of 1940
  2. Bachelor’s Degree required
  3. Series 7 & Series 24 Required
  4. Currently in a senior role at an asset management/ investment company with Adviser Act compliance experience

Nice to Have Skills:

  1. Microsoft Office
  2. eGRC experience, preferably LogicManager

What's In It for You:

  1. $140K-170K+ Bonus
  2. Health Benefits

Job Tags

Similar Jobs

EasyCare Recruiting

Automotive Dealership Controller Job at EasyCare Recruiting

 ...Automotive Controller The Controller provides sales and expense analyses for all departments. Fairly represents the financial condition of the dealership, develops controls necessary for the proper conduct of the business, and maintains accurate records. This position... 

INTEGRITY EXTERIOR SOLUTIONS LLC

Part Time Bookkeeper Job at INTEGRITY EXTERIOR SOLUTIONS LLC

 ...Looking For a Part Time Bookkeeper To reconcile past QuickBooks online, ongoing reconciling and entering bills to be paid. Work would be done preferably in our office but some work could be done from home. Would like a local person with at least 1 year of experience... 

Testcode, Inc

Sr. 2D Artist, Game Artist, UI Job at Testcode, Inc

 ...Testcode is developing a brand-new game centered around exploration, discovery, and immersive worldbuilding and we're looking for a creative 2D Artist to help shape how players interact with our world. This isn't just about making things look good. It's about designing... 

Carilion Clinic

Clinical Transporter - Carilion New River Valley Medical Center Job at Carilion Clinic

 ...Shift Details: Rotating Shift 1pm-11pm EOW and occasional On-call and holidays How Youll Help Transform Healthcare: Transports patients independently monitoring the patients condition en-route and during procedures as needed. Utilizes transportation algorithm... 

GridMatrix

Director of Government Affairs Job at GridMatrix

 ...You can read more about our recent work in Bloomberg, the Associated Press, and Government Technology. The Role Reporting to the COO, The Vice President/Director of Government Affairs will be a leader in GridMatrix's Government Affairs Organization and...