BCI - Brokerage Consultants Ltd.

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Brokerage Consultants - Financial Recruiting

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They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:
570-20

Job Type:
Permanent

Title:
Compliance Director (570-20)

Location:
Chicago, IL

Description:
Chicago-based investment management firm is seeking a Compliance Director
for the Legal and Compliance Team responsible for mutual fund and investment
adviser SEC regulatory filings, code of ethics administration,subadviser
oversight, and other compliance matters.

RESPONSIBILITIES:
Prepare/produce materials for shareholder reports and other periodic
regulatory filings (Annual, Semi-Annual, N-Q, N-SAR, N-CSR, N-MFP, N-PORT,
N-CEN), including any future filing requirements.
Oversee the maintenance/operation of the Protegent PTA system and any system
upgrades and quarterly audit process and serve as a review officer
Substantively review the subadvisers policy/procedure submissions, Form ADV
updates and third party internal control reports. Follow-through with
tracking log updating and flagging issues for broader group attention when
appropriate
Perform cross monitoring and review of monthly, quarterly and annual
subadviser materials
Participate in subadviser due diligence visits as requested and prepare
compliance reports of those visits
Participation in Proxy Voting Committee meetings and prepare the minutes of
the meetings
Preparation and filing of Form N-PX
Day-to-day management of the foreign ownership monitoring process, including
researching threshold reporting changes and preparing the filings and/or
overseeing more junior members of the Legal and Compliance Team in that
filing process
Day-to-day oversight of process for establishing and maintaining the trading
abilities of the funds in foreign markets, including POAs for proxy voting
purposes
Prepare drafts and manage the review process of Form ADV and maintenance of
adviser registration
Prepare drafts and manage the review process of Form TA-1 and maintenance of
transfer agent registration
Manage the review process for and file the Form PF
Prepare drafts and manage CPO regulatory filings and carry out regular
activities to maintain firms CPO registration
Coordinate with U.S. affiliates on consistent disclosure between the
respective parties Forms ADV
Communications with subadvisers regarding affiliations and restrictions
Review, monitor and audit content posted to website, including advertising,
tax and retirement materials
Review of templated shareholder correspondence and forms
Review of retail materials to ensure compliance with FINRA requirements and
filing of materials with FINRA via the CRD system

REQUIREMENTS:
Bachelors Degree or higher required
10+ years of experience as a compliance professional or 1940 Act mutual fund
paralegal (or similar position) in a financial services firm/law firm
Experience in a manager-of-managers structure is a plus
Committed to maintaining the highest ethical standards
Prior experience in the mutual fund industry and strong knowledge of the
regulations that govern its activities, including the Investment Company Act
of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and
the Securities Exchange Act of 1934
Strong project and time management skills are a must
Excellent oral and written communication skills are required
Advanced proficiency with Microsoft Word, Excel and Outlook
Experience with SEC regulatory filings

Category:
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Contact:
zach@bcius.com