Risk and Compliance Manager

  • location: Chicago, IL
  • type: Permanent
  • salary: $80,000 - $100,000 per year
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job description

Risk and Compliance Manager

job summary:
Randstad USA is seeking risk management professional for an exciting Manager, Compliance and Risk opportunity!

Randstad is working with a financial institution in downtown Chicago to identify a skilled risk management and audit professional for a leadership position within their accounting department.

An ideal candidate will have a Bachelor's Degree in Accounting or finance. To be considered, candidates MUST have FINRA licenses (a minimum of Series 6, Series 63, and Series 26). Candidates with Certified Anti-Money Laundering Specialist (CAMS) Certification will be giver special consideration.

location: Chicago, Illinois
job type: Permanent
salary: $80,000 - 100,000 per year
work hours: 9 to 5
education: Bachelor's degree
experience: 7 Years
Key Responsibilities

  • Responsible for the team's production and quality of work through monitoring of dashboards, workflows and reporting
  • Provides routine reporting to the AVP on team performance, the completion of their deliverables, and potential process improvements
  • Reviews all audit content prior to it being routed to the AVP for approval
  • Reviews audit reports provided by key vendors to assess User Entity Controls
  • Responds to sensitive and complex inquiries from internal and external sources, reporting these to the AVP with accuracy and in timely manner
  • Review Board material prior to AVP approval
TA Risk & Compliance

  • Oversee the execution and maintenance of the firm's AML Program, which includes facilitating external audits performed annually
  • Ensure the accuracy and timely submission of Suspicious Activity Reports (SAR) and routinely reporting the status of outstanding reports to executives
  • Validate the status and completion of the team's review of market timing activity
  • Validate the status and completion of the team's review of escheatment activity
  • Acts as a subject matter expert in areas of risk and compliance
Control Reconciliation

  • Provide oversight of monthly meetings with the firm's custodian bank, while sharing their monthly performance
  • Validate the reconciliation of Direct Deposit Accounts held at the custodian bank
  • Ensure the accurate transmission of share and dollar amounts to the firm's subadvisors
  • Review the monetary movements within each fund to mitigate against unnecessary risks and financial loss
  • Reviews the accuracy of financial intermediary payments
  • Ensures the proper completion of each milestone related to the distribution of shareholder tax forms
  • Acts as subject matter expert to explain complex information and scenarios regarding taxation, and all other team functions
  • Ensures day to day coverage of our nightly pricing processing
Minimum Qualifications

  • Bachelor's degree required, preferably in Accounting, Finance, or other business related concentration
  • 5+ years of financial services experience preferred
  • 1-2 years of supervisory and/or management experience preferred
  • FINRA licenses required, minimum of Series 6, 63, and 26
  • Certified Anti-Money Laundering Specialist (CAMS) Certification recommended
Knowledge, Skills & Abilities Required

  • Must be fluent in all aspects of the mutual fund industry, department procedures and workflows
  • Knowledge of the USA Patriot Act, privacy laws, and fraud trends
  • Possess strong interpersonal, oral/ written communication skills, and the ability to present to all levels of management
  • Strong attention to detail
  • Strong technical abilities in Microsoft Office (Outlook, Word, Excel, SharePoint, etc.)
If this sounds like a position that matches your skills, experience and... more importantly... your career goals, I want to speak with you. Click APPLY or send me an e-mail at Edwin.Johnson@RandstadUSA.com so that we can schedule a time to speak.

skills: Audit - Internal, Audit - External
Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

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