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    Compliance Associate - Chicago, United States - Calamos Asset Management

    Calamos Asset Management
    Calamos Asset Management Chicago, United States

    3 weeks ago

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    Description

    Summary:
    The Compliance Associate is responsible for a variety of tasks in support of the Compliance Department's general operations. This position oversees employee affirmations and questionnaires, FINRA registrations, as well as a variety of ad-hoc assignments and projects.


    Primary Responsibilities:

    • Serves as a point person for new hire onboarding requirements and one-on-one meetings.
    • Administrator of Compliance Monitoring System, StarCompliance. Includes coordinating and testing version updates, identifying and implementing ways to streamline processes, escalating and managing issues, as necessary.
    • Serves as point person for employee surveillance: Includes brokerage account monitoring, reviewing daily exceptions, outside business activities, and political contributions. Escalate concerns as necessary, including issuance of code violations or other disciplinary actions.
    • Approval and oversight for gifts and entertainment reporting.
    • Distributes and reviews affirmations including quarterly and annual compliance affirmations, and other required acknowledgements, as needed, for compliance with firm policies and procedures.
    • Assists the legal team with providing PM and Officer holdings and other information, as requested, for necessary filings.
    • Coordinates the annual Form ADV mailing with the various client relationship groups.
    • Assists in document gathering and provides support during periodic regulatory exams and internal audits.
    • Responsible for FINRA registrations and assist with regulatory and ad hoc firm filings.
    • Assist in interpreting regulatory developments and their impact on systems and controls.
    • Performs special projects and other related duties, as assigned.

    Preferred Qualifications:

    • Bachelor's Degree preferred or equivalent work experience.
    • 3-5 years compliance experience (with investment advisor act experience preferred).
    • Securities Industry Essentials (SIE) exam and Series 6/7.
    • Detail oriented with strong organizational and follow-through skills.
    • Team oriented and willingness to share ideas.
    • Strong computer skills in Microsoft Word, Excel, Outlook, and PowerPoint.
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