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Compliance Manager

Cyperus Group LLC

Mundelein, IL

Job Description

We are seeking an experienced compliance professional to lead the compliance program for an Asset Management business within a global financial services organization.

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Reporting to the Chief Compliance Officer, this role will oversee legal, regulatory, and compliance risks associated with investment management activities in a SOX environment. The successful candidate will partner closely with business and functional leaders to ensure strong governance, regulatory compliance, and effective controls across multiple adviser entities.

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Key Responsibilities

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  • Develop and maintain compliance policies, procedures, and controls for investment management activities.
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  • Oversee regulatory and compliance filings and support regulatory inquiries.
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  • Monitor legal and regulatory developments and assess their impact on the business.
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  • Conduct risk assessments and risk-based compliance testing; recommend and implement enhancements.
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  • Support securities offering, governance, investor, and operational due diligence requirements.
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  • Develop and deliver compliance training.
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  • Maintain required compliance and corporate records.
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  • Partner with Legal, Compliance, Risk, and business teams globally to promote consistent and effective practices.
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  • Serve as a trusted compliance advisor to senior business stakeholders.
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Qualifications

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  • 6+ years of compliance experience with an SEC-registered investment adviser, exempt reporting adviser, and/or regulated investment business.
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  • Strong knowledge of securities and asset management regulations.
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  • Familiarity with the Investment Advisers Act and related securities, investment company, and commodities regulations.
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  • Strong understanding of compliance risk and ability to develop pragmatic solutions.
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  • Excellent communication, collaboration, and stakeholder management skills.
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  • Strong attention to detail and sound business judgment.
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  • Bachelor's degree required; advanced or professional qualifications are a plus.
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Vacancy posted 17 days ago
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