Deputy Chief Compliance Officer Job at Talently, Wheaton, IL

eWFMM1lza0h6U1N0ZXIvMkg4bWdyOTk2
  • 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

McGill Environmental Systems | McGill Compost

Heavy Equipment Operator Job at McGill Environmental Systems | McGill Compost

 ...products for the professional landscape, Turfgrass, and erosion control markets. We are currently seeking an experienced Heavy Equipment Operator to join our team at our facility in Waverly, VA. You will be responsible for operating a variety of heavy machinery to... 

AEVEX Aerospace

Aircraft Mechanic/Electrician II Job at AEVEX Aerospace

 ...gear, instruments, pressurized sections, brakes, valves, pumps, air conditioning systems, and other aircraft related systems Able...  ...Strong ability to understand QA processes, parts identification and control tags Working knowledge of airframe structures and power plant... 

Talent Groups

Real Estate Account Analyst Job at Talent Groups

 ...communicating legal documents and contract terms with both internal and external stakeholders. Your ability to interpret legal real estate contracts and work through complexities in these documents will be crucial, especially when addressing overpayment collections... 

Pursuit

Medical Device Sales Representative Job at Pursuit

 ...Join a medical device company known throughout the nation for its ability to help patients breathe and sleep better. They have had...  ...growth since 2023, and are looking to bring on a Respiratory Sales Representative to their team in the Omaha, Nebraska Area. This is an... 

Revolve Marketing Executives

Junior Marketing Rep - Paid Training Job at Revolve Marketing Executives

We are currently hiring hardworking individuals to fill our entry-level Junior Marketing Associate position. As a Junior Marketing Associate, you will use face-to-face marketing and sales efforts to bridge the gap between our clients, their services, and local consumers...