$90,000 - $100,000
about 1 month ago
A Financial Services client of ours based in Illinois is looking to add a Compliance Officer to their team. Our client is a SEC Registered Investment Adviser providing financial solutions to Investment Advisers and their clients. They are looking for a Compliance professional with experience in the Financial Services industry.
- Review client accounts for adherence to the stated investment policy statement.
- Review and approve Investment Adviser marketing materials and sales literature.
- Assist with annual compliance program review and testing.
- Train firm employees and Investment Advisers about policies, procedures, and applicable federal securities laws.
- Conduct initial and ongoing sub-advisor due diligence.
- Maintain and update the firm compliance manual and disclosure brochures.
- Keep up-to-date with regulatory changes and updates.
- Perform periodic branch office inspections.
- Assist with other duties and projects, as assigned.
- Strong understanding of the Investment Advisers Act of 1940.
- Bachelor's degree.
- Securities Licenses: Series 65 or 66 preferred
- Experience in Investment Adviser compliance and supervision.