Compliance Manager

  • location: Chicago, IL
  • type: Permanent
  • salary: $80,000 - $110,000 per year
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job description

Compliance Manager

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

Randstad is working with a financial institution in downtown Chicago to identify a skilled compliance professional for a leadership position within their legal department.

An ideal candidate will have a Bachelor's Degree in Accounting or finance. Compliance professionals experienced with the 1940 Act, mutual funds, or with working experience in a financial institution or law firm will be given special consideration.

location: Chicago, Illinois
job type: Permanent
salary: $80,000 - 110,000 per year
work hours: 9 to 5
education: Bachelor's degree
experience: 7 Years

Subadviser Monitoring, Review and Oversight

  • Substantively review the subadvisers' policy/procedure submissions, Form ADV updates and third-party internal control reports, flagging issues for broader group attention when appropriate
  • Perform review of monthly, quarterly and annual subadviser materials
  • Participate in subadviser due diligence visits as requested and prepare compliance reports of those visits
General Compliance Matters

  • Support the CCO annual reviews and updating of policies and procedures
  • Draft and implement new policies and procedures as requested
  • Support the CCO in the review/investigation of compliance incidents
  • Lead implementation of new compliance initiatives
  • Oversight of foreign ownership monitoring
Mutual Fund Administration

  • Participate in the preparation and production of the materials for shareholder reports (Annual, Semi-Annual), including any future filing requirements.
  • Perform a substantive review of the overall shareholder reports
Regulatory Filings

  • Assist with the drafting, maintaining, and filing of the registration statements (Form N-1A).
  • Assist with the drafting and filing of Prospectus/SAI supplements.
  • Prepare and file Form N-CEN.
Forensic Testing

  • Develop and oversee the annual forensic testing program
  • Develop and perform forensic testing of various compliance related functions
Records Management

  • Research and maintain matrices of record keeping requirements for various entities

  • Strong academic credentials. Bachelor's Degree or higher required
  • Seven or more years of experience as a compliance professional or 1940 Act mutual fund paralegal (or similar position) in a financial services firm or law firm. Experience in a manager-of-managers structure is a plus.
  • Committed to maintaining the highest ethical standards

  • Prior experience in the mutual fund industry and strong knowledge of the regulations that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934
  • Responsible for coordinating, and in certain cases managing, complex projects with multiple internal and external parties; therefore, candidate must demonstrate a cooperative attitude and exceptional interpersonal and consensus building skills
  • Responsible for managing diverse and complex projects according to timelines that the candidate will create and monitor; therefore, strong project and time management skills are a must
  • Advanced proficiency with Microsoft Word, Excel and Outlook
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 so that we can schedule a time to speak.

skills: Analysis - Risk, Governance Risk & Controls / Audit
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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