Senior Compliance Officer
jw michaelsEvanston (IL)
Senior Compliance Officer
Posted 17 days ago
jw michaelsEvanston (IL)
SENIORITY
Senior
About the role
Highly regarded Investment Management firm is seeking a Senior Compliance Officer to join their office in Chicago. This individual will be responsible for the day-to-day management and oversight of the compliance program, including managing a small team.
Responsibilities:
Conducting compliance oversight of credit investment activities and providing guidance regarding applicable policies, procedures and laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940.Risk Assessment and Testing. Directing and/or participating in regular risk assessments and Compliance Policies. Promulgating and administering compliance policies, including drafting new and updating existing policies and addressing associated staff inquiries. Code of Ethics. Reviewing Code of Ethics-related disclosures and pre-clearance requests Training. Providing compliance-related training for all levels of employees, appropriate to their respective roles and responsibilities Marketing and Advertising Review. Reviewing marketing and advertising materials, including flipbooks and Due Diligence Questionnaires, to ensure compliance with applicable rules and regulations Regulatory Filings and Exams. Making required filings under the Investment Advisers Act and coordinating responses to regulatory exams and information requests. Board Reporting. Assisting the CCO with quarterly and annual reporting to the boards of firm-managed registered investment companies Regulatory requests/exams
Experience Requirements:
- 10+ years’ experience as a compliance professional at an SEC-registered investment manager and/or staff member at the SEC3+ years’ experience in investment company compliance
- Trade Compliance Experience a plus
- Credit investment (e.g., CLOs, BSLs, CMBS, direct lending) experience
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