Senior Compliance Officer

Job Description

Highly regarded Investment Management firm is seeking a Senior Compliance Officer to join their office in Chicago. This individual will be responsible for the day-to-day management and oversight of the compliance program, including managing a small team.

Responsibilities :

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• Conducting compliance oversight of credit investment activities and providing guidance regarding applicable policies, procedures and laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
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• Risk Assessment and Testing. Directing and/or participating in regular risk assessments and
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• Compliance Policies. Promulgating and administering compliance policies, including drafting new and updating existing policies and addressing associated staff inquiries.
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• Code of Ethics. Reviewing Code of Ethics-related disclosures and pre-clearance requests
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• Training. Providing compliance-related training for all levels of employees, appropriate to their respective roles and responsibilities
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• Marketing and Advertising Review. Reviewing marketing and advertising materials, including flipbooks and Due Diligence Questionnaires, to ensure compliance with applicable rules and regulations
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• Regulatory Filings and Exams. Making required filings under the Investment Advisers Act and coordinating responses to regulatory exams and information requests.
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• Board Reporting. Assisting the CCO with quarterly and annual reporting to the boards of firm-managed registered investment companies
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• Regulatory requests/exams
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Experience Requirements:

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• 10+ years’ experience as a compliance professional at an SEC-registered investment manager and/or staff member at the SEC
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• 3+ years’ experience in investment company compliance
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• Trade Compliance Experience a plus
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• Credit investment (e.g., CLOs, BSLs, CMBS, direct lending) experience
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