Senior SMA Compliance Examiner Investment Management, ID

Posted 2 days ago

federated hermesChicago (IL)

Compliance Managers Portfolio Management and Investment Advice

SENIORITY

Senior

SALARY

$100,000 - $145,000 per year

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About the role

Senior SMA Compliance Examiner Investment Management, Job ID Position Overview The Senior SMA Compliance Examiner assists in implementing and administering the Federated Hermes compliance program for the separately managed account (SMA) advisory business. This role focuses on portfolio monitoring and testing, regulatory compliance, client onboarding, and policy governance to help ensure adherence to federal securities regulations, client investment guidelines, and firm policies and procedures. The position works closely with Investment Management, Investment Operations, Legal, Audit, and Compliance teams while serving as a key compliance liaison for the Chicago office.

Key Responsibilities:

Lead compliance oversight of SMA portfolios, client onboarding activities, electronic communications surveillance, and portfolio monitoring programs.
Oversee implementation and monitoring of compliance rules and guardrails within trade order management systems.
Review, enhance, and implement compliance policies, procedures, disclosures, and contract templates.
Partner with business, legal, audit, and governance teams to assess risks and support examinations.
Serve as a compliance liaison by delivering training and managing monitoring activities.

Required Qualifications:

Bachelor's degree or equivalent level of related experience which includes experience with financial services organizations in compliance, fund accounting, legal, audit or similar environment
Minimum five years of business experience and one year of investment adviser compliance experience
Knowledge of municipal securities and securities markets; understanding of investment advisory regulations including the Investment Advisers Act of 1940.
Proficiency with Microsoft Word, Excel, AI Asistant, e.g. Co-Pilot, Claude Preferred Qualifications
Possess or have the ability to take and pass the following securities related examinations 7, 24, 65/66 Key Behaviors for Success: Adaptability, Communication, Delivery, Drive, and Relationships.

Working Conditions: This is a full-time position working 37.5 hours per week in Chicago, IL 60654. Standard work hours are 7:30 a.m. - 5:00 p.m. CST. You will be required to work in the office a minimum of three days each week. Apply to this position: We appreciate your interest in career opportunities with Federated Hermes. For consideration, please visit the Federated Hermes Careers page and reference Job ID. The firm does not sponsor employment visas.

About Us: Federated Hermes, Inc. is a leading global, active asset manager, focused on meeting the diverse and evolving needs of today's investors. Founded on the principle of doing business the right way, Federated Hermes has helped clients plan for the future with investments, support and insights built to stand the test of time. Headquartered in Pittsburgh since 1955, with offices spanning North America, Europe, and Asia Pacific, our more than 2,200 highly talented employees are dedicated to a culture of integrity, a drive for excellence in all that we do and an unwavering focus on our clients. Federated Hermes, Inc. offers a competitive salary, a comprehensive benefits package, a variety of professional and personal development opportunities, and a professional work environment. For additional information about the firm, please visit our website EOE Including Disability / Vets Federated Hermes is committed to providing equal employment opportunities in all aspects of employment to qualified individuals without regard to the following criteria: race, color, national origin, religion, sex, pregnancy, sexual orientation, gender identity or expression, mental or physical disability, age, familial or marital status, ancestry, military status, veteran status or genetic information as well as any other prohibited criteria under any local, state or federal law applicable to Federated Hermes. As part of the firm's equal employment opportunity statement, Federated Hermes will also comply with applicable government contractor obligations, including ensuring veterans and qualified people with disabilities are considered for employment and promotional opportunities consistent with current federal, state and local laws and regulations. Federated Hermes will also make reasonable accommodations for the religious practices of beliefs of applicants and employees, as well as for mental health or physical disability needs. The annual base salary range for this position is $100,00 - $145,000. In determining salary multiple factors will be taken into consideration such as primary work location, experience, education and skill set. In addition to base salary, this position includes eligibility for a bonus.

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