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Job

Compliance Officer

  • Location

    Wheaton, Illinois

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $90,000 - $100,000

  • Contact:

    Katherine Barnes

  • Contact email:

    k.barnes@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    4 months ago

  • Expiry date:

    2022-06-20

  • Startdate:

    ASAP

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.

Responsibilities Include:

  • 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.

Requirements Include:

  • 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.