about 2 months ago
An Investment Management partner of ours, based out of Chicago, IL is looking to add an experienced Compliance Officer - Subadvisor Model Index Oversight professional to their growing Compliance team. Reporting directly to the Chief Compliance Officer, the Compliance Officer will perform substantive review and cross-monitoring of subadvisers’ and model/index providers’ monthly, quarterly and annual questionnaires and related materials, including policies and procedures and internal control reports.
As a Compliance Officer, you will:
- Assist in drafting comprehensive due diligence reports and PowerPoint presentations covering subadviser/model/index provider inspections
- Assist with environmental, social, and governance (ESG) factor analysis
- Have experience in the investment management industry and strong knowledge of the regulations that govern its activities, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and FINRA rules and regulations
As a Compliance Officer, you will need:
- 5-7 years of experience working with the Investment Advisers Act of 1940 and/or Investment Company Act of 1940 in a financial services firm, compliance consulting firm or law firm required
- Bachelors degree in a related field
If you are a skilled Compliance Officer - Subadvisor Model Index Oversight, you can apply by:
Selecting the “Apply” button below, or by contacting me directly.
As a Compliance & Financial Crime market specialist, I am partnered with a myriad of large and small Financial Services and Banking Institutions across the Southwest and West Coast. If this role is of interest to you, or if you are interested in exploring other opportunities within the market, you are welcome to reach out directly to:
Austin Good, email@example.com or (619) 350-6195