Chief Compliance Officer
Larson Maddox - Chicago, IL
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A rapidly growing Registered Investment Advisor is looking to bring on a new Chief Compliance Officer to their team. The ideal candidate will be someone who has 8+ years of experience working within a RIA, covering a variety of compliance matters and able to help build the framework at the firm. The role will be based in Chicago in a hybrid setting. **Oversee regulatory filings for the organization, such as Form ADVs, CRS, and BDs, as well as other state filings Manage U4/U5 submissions for registered representatives Perform periodic and monthly testing of compliance policies and procedures Responsible for the surveillance program to monitor activity and identify any issues for potential escalationPartner closely with the SEC and FINRA, as well as state agencies; strong knowledge of KYC and AML policies Develop the compliance framework for the firm and implement in partnership with the executive team** 8+ years of experience at a RIA or in Investment Management sector Bachelors in Business, Finance, Pre-Law or Economics; MBA or JD preferred Prior experience in implementation and maintenance of compliance programs at a RIAAbility to work with executive team members and strategize on compliance policiesCertification such as a IAACP, CRCM, or CCEP is desired *****Competitive compensation packageMedical, Vision, Dental & 401kStrong PTO policy Ability to grow and develop at a growing firmIf interested in the above, feel free to click the link to be put for immediate consideration!
Created: 2024-09-19