Current jobs related to Director, Compliance Risk Management - Chicago, IL - Brookfield Asset Management, Inc.
-
Risk Manager
5 days ago
Jacobs ChicagoJob Summary: · Jacobs seeks a Risk Manager to implement risk management methodology & tools, providing supporting guidance to stakeholders. · Manage program/project risk for specific clients following Cost and Schedule Risk Analysis (CSRA) and ISO 31000 guidelines. · Define risk ...
-
Risk Management
18 hours ago
JPMorgan Chase Bank, N.A. ChicagoBring your expertise to JPMorgan Chase. · You are at the center of keeping JPMorgan Chase strong and resilient, helping the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impac ...
-
Manager, Risk Management
5 days ago
Tripoint Search ChicagoClient Risk and Privacy Manager · A highly respected Top Ranked Global Law Firm seeks a skilled Client Risk and Privacy Manager to join their team. · Job Summary: · The Client Risk and Privacy Manager will work closely with senior Risk Management leadership and the Executive Comm ...
-
Manager, Risk Management
2 days ago
Early Warning Services ChicagoJob Description: · At Early Warning, we've powered and protected the U.S. financial system for over thirty years with cutting-edge solutions like Zelle, Paze, and so much more. · As a trusted name in payments, we partner with thousands of institutions to increase access to financ ...
-
Manager, Enterprise Risk Management
5 days ago
Invenergy ChicagoInvenergy Drives Innovation in Energy · Invenergy is a leader in energy innovation, powered by decades of entrepreneurial experience and unparalleled execution. We solve the energy challenges facing our customers and communities. · We provide power generation and storage solution ...
-
Manager, Counterparty Risk
1 day ago
JCW chicagoMarket Counterparty Risk Manager · We are seeking an experienced Market Counterparty Risk Manager to join our dynamic risk management team at a leading financial institution. This critical role involves managing and mitigating risks associated with the institution's capital marke ...
-
Operational Risk Manager
5 days ago
Legal & General Investment Management America ChicagoOverview · Provide Operational Risk support to the Investments Office teams by being a member of the 2nd line Operational Risk team to ensure appropriate risk policies, procedures and supporting systems are in place to monitor and manage risk. Engage in proactive monitoring and i ...
-
Compliance & Risk Manager
2 days ago
Chicago Family Health Center Inc Chicago Full timeJob Title · Compliance and Risk Manager · At Chicago Family Health Center, we are seeking a skilled Compliance and Risk Manager to ensure our organization's policies and procedures meet state and federal regulatory and ethical standards. · Key Responsibilities: · Develop, impleme ...
-
Manager, Procurement Risk
1 week ago
AbbVie North Chicago Full timeJob Title · Manager, Procurement Risk · AbbVie's mission is to discover and deliver innovative medicines and solutions that solve serious health issues today and address the medical challenges of tomorrow. · We strive to have a remarkable impact on people's lives across several k ...
-
Senior Manager, Risk Management
1 week ago
Cory Executive Recruiting Chicago Full timeJob Title · Senior Manager, Risk Management & Investments · Location: Remote · CORY is hiring a Senior Manager, Risk Management & Investments to oversee all insurance-related activities, including new acquisitions and renewals, to protect assets and optimize costs. · About Our Cl ...
-
Manager, Insurance Risk
1 week ago
Heartland Human Care Services Chicago Full timeJob Title: · Manager, Insurance Risk · Job Summary: · Heartland Human Care Services (HHCS) is seeking an experienced Insurance Risk Manager to drive the strategic planning and management of insurance needs across the organization. · Key Responsibilities: · Manage company-wide ris ...
-
Director - Risk Management
4 days ago
Aon ChicagoAon in partnership with Jones Lang LaSalle is seeking a Director - Risk Manager - Commercial. Work Style: Hybrid - work in the Chicago office 2-3 days a week. Relocation Assistance Available for the ideal candidate. This position reports to the Executive Director Global Risk Mana ...
- RHP Risk Management Chicago Full time
Job Description · RHP is a health-sciences consulting firm focusing on Exposure Science, Industrial Hygiene, Human Health Risk Assessment, Product Safety, Indoor Air Quality (IAQ), Built Environment, Risk Management, Dose Estimation & Analysis, and Exposure Simulation. · We have ...
-
Senior Manager, Enterprise Risk Management
5 days ago
Beam Suntory ChicagoAt Suntory Global Spirits, we craft spirits of the highest quality and deliver brilliant experiences to people around the world. · Suntory Global Spirits has evolved into the world's third largest leading premium spirits company, where each employee is treated like family and tru ...
-
Manager, Global Security Risk Management
5 days ago
AbbVie North Chicago Full timeJob Description · AbbVie's mission is to discover and deliver innovative medicines and solutions that solve serious health issues today and address the medical challenges of tomorrow. We strive to have a remarkable impact on people's lives across several key therapeutic areas – i ...
-
Environmental Health Scientist
4 days ago
RHP Risk Management Chicago Full timeJob Description · RHP is an environmental consulting firm specializing in Industrial Hygiene, Exposure Science, Indoor Air Quality (IAQ), Built Environment, Risk Management, Dose Estimation & Analysis, and Exposure Simulation Testing. Our mission is to provide exposure science an ...
- American College of Surgeons Chicago, IL
About the American College of Surgeons · The American College of Surgeons is a professional and educational organization of surgeons that was founded in 1913 to raise the standards of surgical practice and improve the quality of care for surgical patients. The College is dedicate ...
-
Risk Program Oversight Manager
3 days ago
Northern Trust Chicago, ILAbout Northern Trust · A globally recognized, award-winning financial institution. · Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles o ...
-
Senior Director, Risk Management
1 week ago
Capital One ChicagoSenior Director, Risk Management Role · This is a complex role requiring strategic planning and program management. The ideal candidate will have strong leadership skills, be able to drive transformational change, and deliver game-changing value with high exposure to executives. ...
-
Risk/Insurance Procurement Manager
20 hours ago
Oliver James Associates Chicago, ILRisk Manager - Group Insurance Procurement · We are seeking a seasoned professional to join our risk department as a Risk Manager focused on Group Insurance Procurement for our operations in Illinois. · Role & Responsibilities: · Develop and implement insurance procurement strate ...
-
Principal, Quantitative Risk Management
1 week ago
The Options Clearing Corporation Chicago, ILJob Description · This role is responsible for leading project development, implementation, testing and maintenance of models used for Financial Risk management. · Primary Duties and Responsibilities · Lead, support and review development and implementation of models for credit r ...
- Continually review, enhance and structure the Compliance control structure to ensure compliance with applicable regulatory requirements.
- Manage and oversee other PSG Compliance Team members and take an active role in their professional and personal development.
- Effectively identify, communicate and escalate compliance matters to other senior Brookfield and PSG Compliance and Legal staff.
- Monitor for and analyze proposed and current regulatory requirements and interpretations that impact or may impact PSG's business and operations. Interact with and provide advice to business leaders on changing laws and regulations.
- Adapt the compliance program as needed for new businesses and new products.
- Draft, enhance, implement and monitor PSG compliance policies and procedures.
- Conduct, design and enhance tests of PSG compliance policies and procedures pursuant to applicable regulatory requirements. Review all types of marketing, advertising and client service-related materials for compliance with IAA, FINRA and other regulatory requirements, and oversee PSG review processes and controls.
- Monitor portfolio trading and investment activity against investment guidelines, restrictions, disclosures, and regulatory requirements.
- Oversee third party vendor relationships involving PSG and perform due diligence and risk assessments.
- Develop and update training materials on regulatory and compliance related matters and requirements and provide training to employees.
- Prepare and submit regulatory filings and reports for PSG, including Form ADV.
- Ensure all regulatory examinations and inquiries are handled professionally and consistently.
- Bachelor's degree, or foreign equivalent, in Economics, Finance, or related field.
- Minimum of 10 years compliance experience with at least 5 years' experience working within an investment management firm.
- Substantial experience working in hedge fund/private fund or asset management industries required: Experience working with multi-strategy hedge funds is preferred.
- Experience working at the SEC, CFTC/NFA, FINRA or other comparable asset management focused regulatory entity is preferred.
- Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 (ICA), IAA, the Securities Act of 1933, the Securities Exchange Act of 1934 and related regulatory requirements
- Knowledge and application of SEC, FINRA and CFTC/NFA rules and regulations, and other US and non-US regulatory requirements.
- Demonstrated ability to provide regulatory compliance advice, monitoring and testing services as an independent, subject matter expert.
- Demonstrated ability to analyze and manage regulatory and compliance program requirements globally.
- Strong change management ability - focus on identifying potential risk areas, and establishing and enhancing processes and controls to mitigate those potential risks.
- Experience with third party portfolio surveillance systems, such as Eze Compliance and other regulatory compliance systems.
- Adept at use of technology and focus on identification and implementation of compliance-based technology solutions.
- Experience reviewing and overseeing marketing, advertising and client service related materials for compliance with GIPS, ICA, IAA, FINRA and other regulatory requirements.
- Resourceful, commercial and proactive when issues arise.
Director, Compliance Risk Management - Chicago, IL - Brookfield Asset Management, Inc.

3 weeks ago

Description
Business - Public Securities
Brookfield's Public Securities Group serves institutions and individuals seeking the investment advantages of real assets through actively managed listed equity and debt strategies.
The Public Securities Group leverages Brookfield's core real asset expertise across real estate, infrastructure, real asset debt, real asset solutions and opportunistic strategies through a variety of flexible and scalable investment mandates, including separate accounts, registered funds and private funds.
Clients include financial institutions, public and private pension plans, insurance companies, endowments and foundations, sovereign wealth funds and high net worth investors.
The Public Securities Group has been investing in public securities for over 30 years and has over $28 billion of assets under management.
Brookfield is committed to the development of our people through challenging work assignments and exposure to diverse businesses.
Job Description
The Chief Compliance Officer is responsible for the design, development, implementation and enforcement of the compliance policies and procedures for the Public Securities Group.
Serve as the primary Compliance Team resource for PSG, the PSG business and employees, and be responsible for the PSG Compliance control structure.
Develop and foster a compliance culture within the organization.
Duties and Responsibilities
Requirements
Compensation
Our compensation structure is comprised of a base salary and a short-term incentive program (cash bonus). Cash compensation tends to vary based on geography to account for local market conditions and is set to be market competitive.
-
Risk Manager
Jacobs- Chicago
-
Risk Management
JPMorgan Chase Bank, N.A.- Chicago
-
Manager, Risk Management
Tripoint Search- Chicago
-
Manager, Risk Management
Early Warning Services- Chicago
-
Manager, Enterprise Risk Management
Invenergy- Chicago
-
Manager, Counterparty Risk
JCW- chicago
-
Operational Risk Manager
Legal & General Investment Management America- Chicago
-
Compliance & Risk Manager
Full time Chicago Family Health Center Inc- Chicago
-
Manager, Procurement Risk
Full time AbbVie- North Chicago
-
Senior Manager, Risk Management
Full time Cory Executive Recruiting- Chicago
-
Manager, Insurance Risk
Full time Heartland Human Care Services- Chicago
-
Director - Risk Management
Aon- Chicago
-
Senior-level Health Sciences Regulatory Specialist
Full time RHP Risk Management- Chicago
-
Senior Manager, Enterprise Risk Management
Beam Suntory- Chicago
-
Manager, Global Security Risk Management
Full time AbbVie- North Chicago
-
Environmental Health Scientist
Full time RHP Risk Management- Chicago
-
Senior IT Manager of Cybersecurity and Risk Management
American College of Surgeons- Chicago, IL
-
Risk Program Oversight Manager
Northern Trust- Chicago, IL
-
Senior Director, Risk Management
Capital One- Chicago
-
Risk/Insurance Procurement Manager
Oliver James Associates- Chicago, IL
-
Principal, Quantitative Risk Management
The Options Clearing Corporation- Chicago, IL