Compliance Officer - Chicago, United States - Larson Maddox

Description

We are partnered with a leader in the asset management industry to source a Compliance Officer. The selected candidate will report directly to the Senior Compliance Counsel and collaborate closely with the Compliance and Legal Departments. The primary responsibility involves supporting the Compliance Department by reviewing and approving Expert Network Requests and ensuring compliance oversight for both investment and non-investment personnel in our US offices.

As a Compliance Officer, the individual will be tasked with the following:

• Review and approve expert network requests from members of the investment team.
• Facilitate expert network calls, meticulously document and track all calls and meeting notes.
• Evaluate meeting requests involving subject experts.
• Conduct new hire and annual training sessions.
• Assist the team in the Compliance Annual review process.
• Review new hire exams and escalate issues when necessary.
• Contribute to e-communications review and surveillance to identify potential breaches of firm Compliance policies.
• Assist in preparing and completing various regulatory filings.
• Collaborate with the Senior Compliance Counsel on data/research compliance matters.
• Support the Compliance Department in ongoing regulatory requirements and the enforcement of compliance policies.

Educational/Experience & Qualifications:

• Bachelor's Degree required.
• 5-7 years of call chaperoning experience.
• Familiarity with the Expert Network industry.
• Compliance or legal background with an investment adviser or broker-dealer.
• Strong organizational and research skills.
• Ability to manage multiple tasks effectively.
• Capability to work independently and thrive in a high-intensity environment.

This position will be 4 days a week in the office, and 1 day remote.