App
Sign up to access all features of our service.
  • Job search
  • Favorites
  • Create a CV
    New
  • Salaries
  • Subscriptions

Senior Compliance Officer

Blacklock Group

Mundelein, IL

Job Description

I’m working with a highly regarded Investment firm in New York that is looking to add a Senior Compliance Officer to its growing team.

\n

This is a hands-on role reporting directly into the CCO.

\n

\n

The role will cover:

\n
    \n
  • Compliance monitoring, testing and surveillance
    • \n
  • Investment Advisers Act / SEC regulatory requirements
    • \n
  • Portfolio & asset management compliance
    • \n
  • Alternative investments and private/pooled investment vehicles
    • \n
  • Client and investment management agreements
    • \n
  • Code of Ethics administration
    • \n
  • Third-party sub-adviser & vendor oversight
    • \n
  • Electronic communications and social media review
    • \n
  • Policies, procedures and supervisory controls
    • \n
  • Supporting SEC examinations and the annual 206(4)-7 compliance review
    • \n
\n

\n

Ideal background:

\n
    \n
  • Senior compliance experience within an investment adviser
    • \n
  • Strong Code of Ethics Experience
    • \n
  • Strong with AI within compliance functions
    • \n
Apply
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Senior Compliance Officer in Mundelein, IL vacancy
  • Hedge Fund Senior Compliance Officer
     ...Job Description Our client, a global hedge fund, is looking for a Senior Compliance Officer to join their team to support generalist compliance responsibilities. This role will play a critical role in advising the business on key initiatives while holding oversight... 
    Senior

    Arrow Search Partners

    Mundelein, IL
    2 days ago
  • Senior Compliance Officer - Expanding Multi-Strat Hedge Fund - up to $350-400k TC

    $350k - $400k

     ...Job Description My client, a rapidly expanding hedge fund, is looking to hire a Senior Compliance Officer into it's New York office. \n \n They are capitalising on consecutive years of stellar performance and expanding their presence in the US, having already built... 
    Senior
    Work at office

    Mondrian Alpha

    Mundelein, IL
    10 days ago
  • Director, Senior Compliance Officer

    $200k - $250k

     ...a member of the following: FINRA, SIPC, and NASDAQ. \n \n Chardan is seeking an experienced compliance professional to serve as a Director, Senior Compliance Officer and strategic partner to the Chief Compliance Officer. This individual will play a key leadership... 
    Senior
    Work at office

    Chardan

    Mundelein, IL
    10 days ago
  • Senior Regulatory Analyst

    $90k - $105k

     ...Job Description Senior Regulatory Analyst | Advanced Nuclear Energy | Washington, D.C. \n \n Hanson Search is exclusively partnering...  ..., think tank, trade association, industry or a congressional office would all be relevant \n A track record of turning ambiguous... 
    Senior
    Work at office

    Hanson Search

    Mundelein, IL
    16 days ago
  • IT Risk & Compliance Senior Associate
     ...programs. Our approach unites operations, compliance, and technology experts, enabling us to...  ...\n As an IT Risk & Compliance Senior Associate, you will be supporting multiple...  ...Strong working knowledge of the Microsoft Office Suite (i.e., Word, Excel, PowerPoint). \... 
    Senior
    Full time
    Work at office
    Remote work

    Myna Partners

    Mundelein, IL
    10 days ago
  • Senior Principal

    $240k - $300k

     ...Job Description Senior Principal – Building Envelope | Miami - Fort Lauderdale \n \n A nationally recognized architecture, engineering, and construction consulting firm is seeking a Senior Principal to lead and grow its Building Envelope practice in the Miami... 
    Senior
    For contractors

    TYG

    Mundelein, IL
    17 days ago
  • Senior GRC Analyst
     ...Job Description We are working with a rapidly growing, technology-driven organization seeking a Senior Governance, Risk & Compliance Analyst to strengthen its security and compliance program. \n This is a hands-on role for someone who knows how to keep an organization... 
    Senior

    Averity

    Mundelein, IL
    10 days ago
  • Senior Principal (FACADES)
     ...Job Description TYG is partnering with a leading specialist consultancy that is seeking to hire a Senior Principal to join its Building Envelope practice in New York. \n \n This is a highly visible leadership role offering the opportunity to shape the continued... 
    Senior

    TYG

    Mundelein, IL
    10 days ago
  • Portfolio/Investment Compliance Officer
     ...Job Description Our client, a prominent hedge fund, is looking to hire a compliance officer to support their investment guideline compliance program. \n \n Responsibilities: \n \n Manage portfolio compliance across a broad and expanding global investment... 

    Arrow Search Partners

    Mundelein, IL
    2 days ago
  • Senior / Principal Data Scientist - Credit Card
     ...Job Description Senior / Principal Data Scientist – Causal Inference & Forecasting on Credit Card Spend Data \n \n Two openings: Senior and Principal · Hands-on individual contributor roles · Remote (US) \n \n WHY THIS ROLE \n Our client, a consumer data... 
    Senior
    Remote work

    Analytic Recruiting Inc.

    Mundelein, IL
    17 days ago
  • Compliance Officer
     ...Job Description Reporting directly to the SVP, Deputy Chief Compliance Officer, the VP, Compliance Manager will lead the design and daily responsibilities of the compliance program for Capital Partners, managing a range of legal, regulatory and compliance risks associated... 
    Work at office

    Cyperus Group LLC

    Mundelein, IL
    9 days ago
  • Compliance Officer
     ...Job Description Compliance Officer (New York, NY): Our client, an established institutional alternative investment manager, is looking to...  ...interaction with investment professionals, research teams, and senior leadership. \n \n Highlights \n \n The firm has... 
    Work at office

    Landing Point

    Mundelein, IL
    17 days ago
  • Compliance Advisor - Major Global AmLaw Firm
     ...Job Description Our client, a major global AmLaw firm, is looking for a Compliance Advisor to join their team. \n \n This role will start as a 6 month temporary assignment with the possibility of converting to a permanent position. \n \n Will serve as a... 
    Permanent employment
    Temporary work
    Immediate start

    Bridgeline Solutions

    Mundelein, IL
    2 days ago
  • Senior Stress Analyst
     ...Job Description Senior Stress Analyst | Launch Vehicles & Propulsion \n \n We are working with an ambitious, well-funded space company developing next-generation launch technology, with a mission to make access to space dramatically more affordable, reliable,... 
    Senior

    EVONA

    Mundelein, IL
    2 days ago
  • Senior Real Estate Attorney (Counsel)

    $300k - $370k

     ...Negotiating and closing deals across various asset classes such as office, retail, and mixed-use properties is essential. \n \n This...  ...conversation. \n \n Contact: Alex-Jay Blackledge-Murphy, Senior Recruitment Consultant \n Mobile: +44 0794 931 5621 \n... 
    Senior
    Work at office

    William James Recruitment

    Mundelein, IL
    2 days ago
  • Senior/Principal AI/ML Engineer
    Job Description Job description \n VitaKey is a start-up founded out of the Langer Lab, MIT, developing and commercializing proprietary technology for controlled, targeted, and extended delivery of macronutrients, micronutrients, probiotics, biologics, small molecules...
    Senior

    VitaKey Inc.

    Mundelein, IL
    2 days ago
  • Senior Asset Manager (Remote, DMV)
     ...Job Description Senior Asset Manager, CRE Multifamily (Remote, DMV) \n \n This role is a fully remote hire, but the candidate must live in Greater Washington DC area \n \n Our client is a national real estate investment firm that is expanding it's team... 
    Senior
    Remote job
    Live in

    Veritas Partners

    Mundelein, IL
    10 days ago
  • Senior Agency Account Manager

    $75k - $100k

     ...5–8 info businesses doing $100K–$1M a month. $75K–$100K OTE. In-office in Las Vegas. \n \n Pineda Partners runs paid ads, funnels,...  ...rewards account growth. \n \n \n What you need \n \n Senior-level agency experience managing client relationships. Required.... 
    Senior
    Work at office

    Pineda Company

    Mundelein, IL
    2 days ago
  • Senior Editor | Healthcare & Editorial Communications
     ...Job Description We're Hiring: Senior Editor | Healthcare & Editorial Communications \n \n We're looking for an experienced...  ...consistency across communications. \n Review materials for accuracy, compliance, and readiness for publication. \n \n What We're Looking For... 
    Senior

    24 Seven Talent

    Mundelein, IL
    2 days ago
  • Senior/Principal DSP/FPGA Engineer
     ...Job Description \n Title: Senior FPGA Engineer \n \n Pareto Frontier is looking for a unique individual passionate about turning...  ...Requirement: \n This position must meet Export Control compliance requirements, therefore a "US Person" as defined by 22 C.F.R. 1... 
    Senior
    Permanent employment
    Full time
    Remote work

    Pareto Frontier, LLC

    Mundelein, IL
    10 days ago
  • Senior Tax Manager
     ...Job Description Senior Tax Manager \n Location: Cincinnati, OH (On-site) \n Job...  ..., ensuring accuracy and regulatory compliance. \n Review tax returns prepared by an...  ...of tax advisory services across multiple offices. \n Participate in client meetings, seminars... 
    Senior
    Full time

    Teksky LLC

    Mundelein, IL
    2 days ago
  • Senior Accountant
     ...Job Description Senior Accountant | Western Chicago Suburbs (3 days/week in office) \n \n Looking for an accountant who wants real ownership, not just a seat at the close. \n \n Our client, a growing organization, is adding a Senior Accountant to its accounting... 
    Senior
    Work at office
    3 days per week

    Connect Search, LLC

    Mundelein, IL
    2 days ago
  • Senior Tax Manager
     ...Job Description Senior Tax Manager | Des Moines, IA | Full-Time | Hybrid, Direct Hire \n \n Job Description \n A well-established...  ...ll step into a highly visible tax role with responsibility for compliance, planning, process improvement, and developing the tax team.... 
    Senior
    Full time
    Local area

    The Reserves Network

    Mundelein, IL
    5 days ago
  • Senior Electrical Engineer Mission Critical
     ...Job Description Senior Electrical Engineer (Mission Critical) - Multiple Locations \n \n URGENT HIRE for a Leading Engineering...  ...\n \n \n This role is a hybrid position out of any of the offices listed above. \n \n This opportunity will be focused... 
    Senior

    Metric DCX

    Mundelein, IL
    5 days ago
  • Broker Dealer Compliance Officer, SVP
     ...leadership to shape, execute, and continuously strengthen the firm's compliance framework in alignment with applicable securities industry...  ...filings, and compliance assurance activities. \n Act as a senior resource for escalated regulatory, supervisory, and conduct-related... 

    Partnership Employment

    Mundelein, IL
    10 days ago
  • Marketing Compliance Officer
     ...Job Description Our client, a mulit-strategy investment management firm, is looking to add a compliance officer to support their marketing compliance initiative. This role will also provide an opportunity to work on generalist compliance responsibilities such as testing... 

    Arrow Search Partners

    Mundelein, IL
    10 days ago
  • Intermediate to Senior Interior Designer (Hospitality)
     ...Description Rhythm Careers is partnering with a global high-end boutique hospitality design studio that is seeking an Intermediate and Senior Interior Designer for their Manhattan studio. \n \n They are working with some of the largest luxury hotels in Europe, and... 
    Senior

    Rhythm Careers

    Mundelein, IL
    6 days ago
  • Project Finance Senior Associate
     ...Job Description Exciting opportunity to join a leading renewable energy company as a Senior Associate, M&A. Seeking candidates with 3–6 years of experience and a strong project finance background. This role offers exposure to financial modeling, strategic transactions... 
    Senior

    Spencer Ogden

    Mundelein, IL
    2 days ago
  • Senior Project Manager
     ...Job Description Senior Project Manager – Heavy Civil \n Location: DMV \n \n Overview \n We are working with a leading specialist bridge and infrastructure contractor that is looking to hire an experienced Senior Project Manager to help lead a growing... 
    Senior
    For contractors
    For subcontractor

    Metric Geo

    Mundelein, IL
    10 days ago
  • Senior Manager of Strategy | Energy Investment Platform
     ...Job Description Senior Manager of Strategy \n \n Position Summary \n This role supports strategic initiatives, investments,...  ...a global organization \n ~ Advanced proficiency in Microsoft Office Suite, particularly Excel, with demonstrated expertise in financial... 
    Senior
    Work at office

    The Green Recruitment Company

    Mundelein, IL
    2 days ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to Senior Compliance Officer. Be the first to apply!

Related searches