Title: Compliance Officer (485-3)
Location: Chicago
Compensation: Commensurate with experience
Summary/Responsibilities:
Administer Public Securities compliance programs to ensure compliance processes/procedures are integrated and aligned with business processes
Evaluate/review existing programs/policies/procedures based upon changed requirements
Review marketing materials/advertising/disclosu
Prepare client-mandated compliance reports/certifications
Prepare various SEC materials/forms
Monitor REIT-ownership charter limitations
Work with Public Securities and Compliance teams in interpreting client investment guidelines, resolving compliance issues, researching client guidelines/security issues, and analyzing post-trade compliance results
Review client restriction guidelines and update software with information for new accounts/revisions/updates to existing accounts
Monitor procedures/practices of personnel for compliance with contractual provisions of client contracts/other agreements
Perform periodic tests of procedures and/or transactions to monitor effectiveness of the compliance programs
Prepare/reconcile various documents/reports including EDGAR filings/client compliance reports/proxy voting reports
Requirements:
5+ years' experience in Securities Compliance
Bachelor's degree in Business, Finance or Accounting preferred
Expert-level knowledge in the rules/regulations associated with the Securities Exchange Commission (SEC), the Securities Act Of 1933, the Securities Exchange Act of 1934, and the Investment Company and Investment Advisers Acts of 1940
Strong attention to detail and communication skills
Intermediate Microsoft Word/PowerPoint/Excel skills
Basic knowledge of derivatives and UCITS funds preferred but not required
Global investment expertise preferred but not required
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Tony Pietrzak
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x104
tony@brokerageconsultants.com
www.brokerageconsultants.com
Location: Chicago
Compensation: Commensurate with experience
Summary/Responsibilities:
Administer Public Securities compliance programs to ensure compliance processes/procedures are integrated and aligned with business processes
Evaluate/review existing programs/policies/procedures based upon changed requirements
Review marketing materials/advertising/disclosu
Prepare client-mandated compliance reports/certifications
Prepare various SEC materials/forms
Monitor REIT-ownership charter limitations
Work with Public Securities and Compliance teams in interpreting client investment guidelines, resolving compliance issues, researching client guidelines/security issues, and analyzing post-trade compliance results
Review client restriction guidelines and update software with information for new accounts/revisions/updates to existing accounts
Monitor procedures/practices of personnel for compliance with contractual provisions of client contracts/other agreements
Perform periodic tests of procedures and/or transactions to monitor effectiveness of the compliance programs
Prepare/reconcile various documents/reports including EDGAR filings/client compliance reports/proxy voting reports
Requirements:
5+ years' experience in Securities Compliance
Bachelor's degree in Business, Finance or Accounting preferred
Expert-level knowledge in the rules/regulations associated with the Securities Exchange Commission (SEC), the Securities Act Of 1933, the Securities Exchange Act of 1934, and the Investment Company and Investment Advisers Acts of 1940
Strong attention to detail and communication skills
Intermediate Microsoft Word/PowerPoint/Excel skills
Basic knowledge of derivatives and UCITS funds preferred but not required
Global investment expertise preferred but not required
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Tony Pietrzak
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x104
tony@brokerageconsultants.com
www.brokerageconsultants.com
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