Investment Compliance Manager - Chicago, IL (Hybrid)
Core
Designing, implementing, and operating a compliance program for a Registered Investment Adviser (RIA) aligned with the Investment Advisers Act of 1940 and SEC rules.
Role type
Investment Compliance Manager
Builds
Robust compliance framework for the Investments business unit
Domain
Financial Services / Investment Advising
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Investment compliance policy development, regulatory reporting, risk assessment, portfolio monitoring, compliance testing, staff supervision
Preferred skills
Translating regulatory requirements into practical procedures, managing ad-hoc special projects, preparing governance reports
Technologies
Monitoring systems, compliance management tools
Responsibilities
Supervise and maintain investment compliance policies and controls; administer annual certifications and regulatory reporting; monitor client portfolios for statutory limits; perform periodic risk assessments and tests; guide junior compliance staff; report compliance exceptions to senior leadership.
Seniority
Senior, hands-on IC with supervisory duties