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AVP of Compliance (Asset Management)

Social Capital Resources

Mundelein, IL

Job Description

Compliance Officer – Asset Management

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Seeking an experienced Compliance Officer to support the administration and implementation of regulatory compliance programs for a leading asset management organization.

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Key responsibilities:

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  • Conduct compliance testing, monitoring, and risk assessments
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  • Review and enhance policies, procedures, and compliance manuals
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  • Investigate and document compliance issues and regulatory matters
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  • Support regulatory filings, examinations, audits, and board reporting
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  • Conduct third-party and intermediary due diligence
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  • Assist with personal trading and employee communications reviews
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  • Partner with business teams and senior leadership on regulatory requirements
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Qualifications:

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  • Bachelor’s degree with 4–6 years of relevant compliance experience
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  • Strong knowledge of the Investment Advisers Act and Investment Company Act
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  • Familiarity with FINRA, CFTC, FCA, and related regulatory requirements
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  • Series 7 and 24 preferred
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  • Excellent communication, writing, organizational, and project management skills
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Vacancy posted 29 days ago
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