Compliance Officer

at Jones Lang LaSalle in Chicago, Illinois, United States

Job Description

Objective of Role:

LaSalle is seeking a highly skilled and motivated person to join our team as Compliance Officer. The ideal candidate will have an in-depth knowledge of broad compliance matters relating to both broker dealer and investment advisory activities, along with a deep understanding of the related regulatory requirements. The successful candidate will work closely with the Americas CCO in the ongoing development and implementation of the firm's compliance program, with a defined pathway to a senior compliance role within the firm's broker-dealer operating in the United States and Canada. Given the overlap between the regulated businesses, however, this role will continue to assist in all aspects of the firm's compliance program, including providing regulatory guidance to business partners throughout the firm, conducting and/or facilitating the testing program, and administering the firm's compliance policies and procedures.

This is a role that presents an attractive growth opportunity within a global, well-respected real estate investment advisor, which will provide the candidate with valuable exposure to various compliance areas, both in the U.S. and internationally, and opportunities to collaborate and engage with business executives. A key expectation of the role is the ability to apply sound judgement and thoughtful guidance addressing complex business questions that intersect with compliance policies and procedures.

This role will appeal to individuals who enjoy working in a dynamic and fast-paced environment, are curious by nature and interested in expanding their skill sets, along with enjoying the challenges of adapting to new and evolving regulatory requirements.

Key Experience:

Prior experience working for a regulated business, such as broker-dealer or investment advisor, or any regulatory body supervising such entities.

Accountabilities:
Implement and support the Compliance Department's strategic program in alignment with LaSalle's overall business strategy

Respond to business inquiries in a collaborative and timely way by sharing the regulatory requirements along with identified risks to investors and the firm

Assist with compliance reviews of marketing materials, such as presentations, product brochures and other forms of communication

Administer the Code of Ethics, including employee personal trade reporting reviews, ensuring brokerage account electronic feeds are correctly maintained, and ensuring ongoing compliance responsibilities identified in the compliance calendar are addressed and resolved in compliance platform

Coordinate with the CCO on the annual compliance reviews, along with the development and implementation of compliance policies and procedures

Perform ad hoc anti-money laundering and know your customer reviews in accordance with firm policy

Provide guidance and training to assist in the development of the compliance team

Keep abreast of changing regulatory environment for proposed rules, guidance and industry trends which may affect the firm and require updates to its compliance program

Assist the CCO in initiatives to enhance the compliance program

Assist in the development and delivery of compliance training

Contribute to ad-hoc projects, including support of Americas CCO for regulatory examinations and projects originated by the Americas General Counsel

Required Qualifications & Experience:
Bachelor's degree

8+ years of experience working in a regulatory and/or compliance-driven environment

Broad knowledge of federal securities laws

FINRA Series 7 and 24 and Canadian licenses are required or need to be... For full info follow application link.

JLL Is an Equal Opportunity Employer JLL is committed to developing and maintaining a diverse workforce.  JLL strongly believes in equal opportunity extended to all individuals in all aspects of the employment relationship, including recruitment, hiring, training, promotion, transfer, discipline, layoff, recall and termination without regard to race, color, religion, belief, creed, age, sex, pregnancy or maternity (including childbirth and related conditions), family responsibility (e.g. child care, elder care), nationality, ethnic or national origin or ancestry, citizenship, marital status, civil partner status, sexual orientation, gender identity or expression, transgender status, veteran’s status, genetic information, trade union membership, social position, political view or status as a qualified individual with a disability, protected leave status or any other protected characteristic in accordance with applicable law.  The company also endeavors to make reasonable accommodations for known physical or mental limitations of otherwise qualified employees and applicants with disabilities unless the accommodations would impose an undue hardship on the operation of our business and ensures that employment decisions are based only on valid job requirements.