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    Compliance Manager - Chicago, United States - Larson Maddox

    Larson Maddox
    Larson Maddox Chicago, United States

    3 weeks ago

    Default job background
    Accounting / Finance
    Description

    Responsibilities:

    • Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.
    • Identify risks, assess mitigating controls, and make recommendations to improve the control environment.
    • Follow up on open issues and ensure their resolution.
    • Prepare various regulatory filings.
    • Create, implement, review, and analyze reports for compliance monitoring.
    • Administer the Code of Ethics compliance program, including oversight of personal trading, gifts and business entertainment, and political contributions.
    • Assist with compliance training programs.
    • Stay abreast of new rules and regulations, implementing processes and controls in accordance with compliance dates.
    • Conduct regular testing of the compliance program across multiple business units.
    • Coordinate with various internal and external parties to ensure completion of various tasks.

    Requirements:

    • Bachelor's degree required; legal/compliance, finance, and accounting background a plus.
    • 5+ years of relevant work experience, with familiarity with the Advisers Act and/or Investment Company Act; experience in public accounting, due diligence, internal audit, or similar roles in the financial services industry is beneficial.
    • Strong written and verbal communication skills.
    • Highly motivated with the ability to multitask and remain organized in a growing and fast-paced environment.
    • Attention to detail and ability to see projects through to completion.
    • Able to work under minimal supervision on individual tasks or on team projects with a strong sense of ownership and accountability.
    • Accurate, accountable, and able to multitask while managing both time and workload.
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