Job Description We're working with a growing RIA business as they look to add a Senior Compliance Officer to their team. This is on a hybrid work schedule, 3 days in office, in Chicago. For the Senior Compliance Officer role, you will be supporting the GC/CCO on all manner of core compliance activities, including: Marketing Compliance Support, ensuring adherence to both SEC and FINRA rules and regulations. Leading the build-out of the compliance program. Conducting compliance program due diligence and gap analyses on acquisitions and commercial partnerships, aligning with centralized compliance framework. Taking the lead on the annual compliance reviews and ongoing risk assessments, analyzing opportunities for improvement. Working closely with the GC/CCO to support on SEC examinations and communicating effectively between the regulator and senior leadership. Drafting, updating, and implementing firm policies and procedures in line with evolving regulatory requirements and business practices. Delivering training to advisers and staff on compliance policies, regulatory updates, and industry developments. What they're looking for: Bachelor's degree level educated, further degrees are beneficial but not required. 4+ years of experience, ideally with an RIA or dual registered RIA/BD. Strong knowledge of the Advisers Act (1940) and experience implementing compliance programs in line with rules and regulations. The company offers a base pay range of $130,000.00/yr - $150,000.00/yr. The ideal candidate will be at a Mid-Senior level, and the employment type is Full-time. This is an equal opportunities employer. #J-18808-Ljbffr Pinnacle Career Coaching
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