Senior Compliance Officer Job at Larson Maddox, Chicago, IL

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  • Larson Maddox
  • Chicago, IL

Job Description

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.

Key Responsibilities:

  • 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

Qualifications:

  • Bachelor's degree required; JD a plus
  • 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

Job Tags

Work at office, 3 days per week,

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