Senior Compliance Officer
Job in
Chicago, Cook County, Illinois, 60290, USA
Listed on 2026-01-12
Listing for:
Larson Maddox
Full Time, Part Time
position Listed on 2026-01-12
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Corporate Finance, Financial Crime -
Law/Legal
Regulatory Compliance Specialist, Financial Crime
Job Description & How to Apply Below
Base pay range
$/yr - $/yr
A leading investment management firm is seeking a Senior Compliance Officer to oversee key aspects of its compliance program. This role requires a deep understanding of investment advisory products, services, and the regulatory framework governing them. The successful candidate will manage routine and special projects within the Legal & Compliance Department and act as a subject matter expert on compliance controls.
This role will require 3 days a week in office in Chicago.
- Oversee monitoring and testing
- Manage and complete regulatory filings such as Form ADV
- Review marketing materials, investor communications, and reports for compliance
- Investigate and resolve compliance issues; advise senior management and the board.
- Assess control design and effectiveness to mitigate compliance risk.
- Lead special projects related to policy updates, regulatory changes, and compliance solutions
- 7+ years of relevant experience
- Familiarity with the Investment Advisers Act of 1940 and/or Investment Company Act of 1940.
- Strong knowledge of regulatory and industry best practices in compliance, governance, and risk management
Mid-Senior level
Employment typeFull-time
Job functionFinance, Other, and Legal
IndustriesInvestment Management, Financial Services, and Legal Services
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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