Chief Compliance Officer job in Chicago, IL| Recruit Arrow
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Chief Compliance Officer
Location : Illinois, Chicago
Refer job # NLDB340114
Job Responsibilities and Requirements: RESPONSIBILITIES: Oversees SEC Compliance for Cedar Hill including maintaining all registrations (company and personnel), maintaining the firm ADV and all Compliance Manuals and Procedures. Coordinates with Compliance for all OCC requirements Coordinates Dual Employee Program & Training Develops and implements policies and procedures designed to comply with all relevant laws, rules and regulations and to address risks and conflicts of interest. Identifies and corrects deficiencies in compliance processes and procedures that may lead to internal and/or regulatory non-compliance. Works with the portfolio management, trading, marketing, client service, business development and operations teams to advise on or help resolve compliance issues. Reviews all marketing materials for proper disclosures and regulatory compliance. Responsible for preparing and filing the firm's SEC Forms ADV and the preparation of SEC Forms 13F U4, U5, and others. Responsible for maintaining investment adviser representative registration system through FINRA s WebCRD system. Performs compliance monitoring test work. Monitors and reviews employees personal securities transactions to ensure compliance with the firm s Code of Ethics and conducts annual training on the Code of Ethics. Reviews emails and social media communications for the firm and its employees. Reviews trading activity for best execution and compliance with firm s trading procedures. Develops and implements a compliance-training program for the firm and its employees. Maintains a thorough understanding of applicable rules and regulations governing the investment management advisory industry through ongoing education. Works with external legal counsel, as needed, with respect to guidance for the firm. Promotes a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations. Conducts onsite office audits. Coordinates and oversees internal audits by outside consultants. DECISION MAKING AUTHORITY & ORGANIZATIONAL IMPACT: Must use judgment based on knowledge and past experience to advise on compliance issues. Must be able to accurately ascertain which matters and issues to handle or to escalate to the Managing Partner and/or legal counsel. Works with and advises staff at all levels. EDUCATION & EXPERIENCE: Bachelor s Degree and seven to ten years of directly related work experience in a similar role; and/or equivalent combination of education and experience. Through knowledge of the investment advisory business. Experience with illiquid alternative investments is required. Strong understanding of regulatory environment. Knowledge of the Investment Advisers Act of 1940. Advanced skills in Word, Outlook and Excel. Strong values, ethics and integrity. Exceptional verbal and written communication skills. Ability to establish a rapport and gain cooperation and commitment from others. Possess a high degree of credibility and demonstrate professionalism both inside and outside the organization. Strong analytical and reasoning skills and ability to exercise balanced judgment. Strong organizational skills and ability to manage multiple projects simultaneously.
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