Job Description

Overview

Chief Compliance Officer (Hybrid Greater Chicago Area): A leading quantitative investment firm is seeking a seasoned Chief Compliance Officer to oversee and enhance its compliance program. This hybrid role offers the opportunity to work closely with executive leadership and investment professionals in a dynamic, data-driven environment.

Base pay range

$275,000.00/yr - $300,000.00/yr

Responsibilities

• Lead the firms compliance program, ensuring adherence to the Investment Advisers Act of 1940 and other applicable regulations.
• Serve as the primary liaison with regulatory bodies, including the SEC.
• Develop, implement, and monitor policies and procedures to ensure firm-wide compliance.
• Conduct internal audits, risk assessments, and compliance training.
• Oversee marketing reviews, code of ethics administration, and personal trading policies.
• Manage regulatory filings, including Form ADV, Form PF, and other disclosures.
• Collaborate with legal, operations, and investment teams to support business initiatives while mitigating compliance risk.

Qualifications

• 10+ years of experience in investment management compliance, with deep expertise in the Investment Advisers Act of 1940.
• Prior experience as a CCO or senior compliance leader at a registered investment adviser.
• Strong understanding of quantitative strategies, private funds, and regulatory reporting.
• Excellent judgment, communication, and leadership skills.

Benefits

• Personal Time Off (PTO) accrues up to 184 hours per year, plus 13 paid holidays and up to 6 weeks of Paid Parental Leave. PTO and holiday hours prorated based on hire date.
• Full-time benefits include medical, dental, vision, life and AD&D insurance, disability coverage, additional voluntary benefits, commuter benefits, wellness plans, and a 401(k) plan.
• Annual discretionary bonus based on individual performance.

Other notices

• Equal Opportunity Employer/Veterans/Disabled.
• Candidate Privacy Information Statement (notes how we will use your information).
• The company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable: California Fair Chance Act; Los Angeles City Fair Chance Ordinance; Los Angeles County Fair Chance Ordinance for Employers; San Francisco Fair Chance Ordinance.

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