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    Compliance Manager - Chicago, United States - Larson Maddox

    Larson Maddox
    Larson Maddox Chicago, United States

    4 weeks ago

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    Description

    Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Officer to join the team and work alongside the Compliance Manager, Chief Compliance Officer & General Counsel, and Chief Operating Officer. In this role, you will be responsible for ensuring that the firm is in compliance with all applicable laws, regulations, and policies related to the investment advisory industry.

    Responsibilities:

    • Conduct regular compliance reviews to ensure that the firm is operating in accordance with all applicable laws and regulations.
    • Assist with preparing and submitting regulatory filings, including Form ADV, Form PF, and other required disclosures.
    • Administer the Code of Ethics compliance program using Orion Technology
    • Stay up-to-date with changes in laws and regulations that affect the investment advisory industry.
    • Assist with compliance training to employees on a regular basis.
    • Participate in the development and implementation of new products and services, ensuring that they comply with all regulatory requirements.
    • Act as a liaison with regulatory agencies and respond to inquiries and requests for information.

    Qualifications:

    • Bachelor's degree in business, finance, or a related field.
    • 4-6 years of experience in compliance at an RIA or similar financial services firm.
    • Knowledge of SEC and state investment adviser regulations.
    • Strong work ethic and self-starter mentality.

    If you are a highly motivated and detail-oriented compliance professional with experience in the investment advisory industry, we encourage you to apply for this exciting opportunity.

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