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Job

Compliance Director

  • Location

    Chicago IL

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $140,000 to $155,000

  • Contact:

    Nicole Izurieta

  • Contact email:

    n.izurieta@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Job ref:

    Compliance Director

  • Published:

    3 months ago

  • Expiry date:

    2022-03-31

  • Startdate:

    ASAP

We've partnered with a great investment management firm who are looking to hire a Compliance Director for their investment management compliance group. With offices in Boston and Chicago, the firm is open to hiring for in-person or fully remote work. Remote employees will be required to report to the office on occasion.  

What you'll be doing: 

  • Manage and support primary review officers for compliance areas like gifts, entertainment, and conflict of interest.  

  • Perform forensic testing and code of ethics administration for compliance functions with support from third party vendors.  

  • Assist with the company's talent and professional development programs  

  • Oversee risk management matters including coordinating meetings, administering the compliance incident report system, coordinating with internal audit and assisting with annual reviews.  

  • Great understanding of Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, NFA rules and regulations, and FINRA rules and regulation to ensure primary review officers are in line with appropriate lawns, regulations and industry guidance.  

Minimum Qualifications:  

  • Bachelor's degree level educated  

  • 10+ years of experience in compliance or 1940 Act mutual fund paralegal for a financial services firm or law firm.  

  • Experience with multi-asset products and serving as a manager of managers is a plus. 

For more information, please contact Nicole Izurieta at Hamlyn Wiliams at n.izurieta@hamlynwilliams.com