Compliance Officer

at Robert Half in Chicago, Illinois, United States

Job Description

Description

Robert Half Legal is partnering with an alternative investment management firm headquartered in Chicago who’s looking to hire a Compliance Officer with at least 3-6+ years of experience to join their team. The ideal candidate will have experience in a compliance or regulatory role, with experience in asset management and previous employment with a financial regulator or previous oversight of a compliance program within a substantial regulated investment adviser. Responsibilities of the position are below. This position is paynig between $180-250K+ base salary plus a strong bonus target of 50%, full benefits, and this position will be working on a hybrid WFH schedule.

Compliance Officer Responsibilities:

+ Develop and manage the Firm’s compliance program, and promote and maintain the Firm’s culture of compliance

+ Identify and mitigate conflicts of interest, including adopting and implementing policies around principal transactions and cross trades

+ Perform internal audit related functions and manage regulatory audit processes when applicable

+ Interact with third party service providers on compliance-related issues

+ Interact with personnel on issues related to Code of Ethics, such as pre-clearance of personal trades, gift and entertainment requests, and questions regarding the SEC and/or compliance manual

+ Document and monitor investigations of breaches or alleged breaches of regulations and/or company compliance policies, standards or procedures, and facilitate the resolution of breaches

+ Perform KYC and AML analysis and assist the deal teams in preparing due diligence reports

+ Assist with the retention, organization and retrieval of transaction data in the Firm’s compliance monitoring system, including with respect to compliance testing

+ Design and oversee client on-boarding procedures

+ Coordinate and support a global marketing effort for private funds and IMAs

+ Support the launching of client accounts by analyzing investment advisory contracts and investment guidelines, coding automated compliance tests into a CRM and coordinating with members of the investment teams

+ Assist in the review of marketing materials to ensure compliance with the relevant regulatory requirements as well as internal standards

+ Mange the process and consult with outside counsel and compliance consultants as directed on regulatory questions, filings and related matters, including Form ADV, Reg D, Form PF, FINRA filings, blue sky state filings, etc.

For immediate consideration, please email your resume directly to Justin Rambert, AVP – Permanent Placement at justin . rambert @ robert half com

+ JD required

+ 3-6 years of relevant work experience in a compliance or regulatory role, with experience in asset management

+ Previous employment with a financial regulator or previous oversight of a compliance program within a substantial regulated investment adviser

+ Experience working for an SEC/FCA regulated firm and familiarity with the US Investment Advisers Act

+ Knowledge of SEC and RIA regulatory environments

+ Experience in constructing an annual compliance review, Form ADV and Form PF

+ Experience working with third-party compliance professionals

For immediate consideration, please email your resume directly to Justin Rambert, AVP – Permanent Placement at justin . rambert @ robert half com

Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity – whenever you choose – even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.

All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

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