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    VP Director of Compliance - Orlando, United States - Calamos Asset Management

    Calamos Asset Management
    Calamos Asset Management Orlando, United States

    1 week ago

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    Description
    The Director of Compliance assists the Chief Compliance Officer with the day-to-day management of the Compliance Department.

    This position will play a key role in establishing the Department's priorities and objectives and will maintain a leadership position within the group.

    This position will proactively review business activities to identify potential regulatory, compliance and reputational risks. This position will also provide regulatory and compliance advice to business and control units on an ongoing basis.


    Primary Responsibilities:
    Manages a staff of compliance professionals which includes supervising, assigning work, training, counseling, evaluating, motivating and developing staff.

    Assists CCO in the development of firm policies, procedures and guidelines.
    Proactively reviews business activities to identify potential regulatory, compliance and reputational risks.
    Provides regulatory and compliance advice to business and control units on an ongoing basis.

    Provides advice in connection with the ongoing development of comprehensive compliance policies and procedures, the resolution of potential compliance issues and the conduct of regulatory examinations.

    Responsible for key compliance relationships within the Calamos corporate entities including oversight of day-to-day compliance activities.
    Contributes to the design, establishment, implementation and revision of compliance system and policies and procedures. This includes involvement in the development and maintenance of effective controls and monitoring systems to track compliance efforts.
    Leads the annual regulatory compliance testing process within the Compliance Department.
    Assists in the preparation of responses to regulatory inquiries and examinations.
    Assists in the annual compliance review.

    Oversees regulatory filings for Calamos Advisors, Calamos Wealth Management, the private funds, as needed, and other corporate entities when necessary.

    Such oversight includes, but is not limited to, the following regulatory filings: 13h, 13f, ADVs, and Form PF.
    Participates in Calamos entity committees on behalf of Compliance.

    Collaborates with other departments (e.g., Risk Management, Operations, Marketing, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.

    Performs related duties as assigned.

    Preferred Qualifications:
    Securities Industry Essentials (SIE) exam, Series 7 and 24 licenses required.
    At least 7 – 10 years of compliance experience with an investment adviser or mutual fund firm.
    Private funds and/or UCITS experience

    Must have a thorough working knowledge of securities laws and SRO rules and regulations to which Calamos Advisors and other corporate entities are subject.

    Must be able to manage multiple priorities.
    Candidate must be able to report out of one of the following

    Calamos Office Locations:
    Naperville (IL), Chicago (IL), New York (NY), or Coral Gables (FL).
    For New York City Applicants only: The expected annual base salary range for this position is $140,000 - $160,000.

    The selected candidate salary is based on numerous factors such as, but not limited to work experience, relevant education, qualifications, certifications, skill level, and geographic location.

    This is the current estimate of the base salary range intended for this role at the time of this posting.

    The base salary range may be modified in the future. This position is also eligible for an annual discretionary bonus.

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