BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
  • Banking
  • Broker/Dealers
  • Commercial Lending
  • Consulting
  • Corporate Treasury
  • Family Offices
  • Financial Services Software Services
  • Insurance & Pension Funds
  • Municipal Finance
  • Private Equity
  • Real Estate Finance
  • Trading

Brokerage Consultants - Financial Recruiting

Tap our resources.

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:

Job Type:

Compliance Officer (18236-315)

Colorado (Relocation Assistance Available)

RIA/Mutual Fund company seeks Compliance Officer to use their
experience/education/training to assist the Chief Compliance Officer and
General Counsel on complex compliance/legal matters with a high degree of

Work with CCO and departments on periodic compliance reviews; perform
compliance testing and suggest improvements to processes/policies/procedures
Review required fund related documents (prospectuses, SAIs, and annual/semi-
annual reports)
Oversee service provider oversight and monitoring programs
Perform contract review; provide feedback to General Counsel as needed
Assist in evaluating compliance risk factors and regulatory
filings/exams/inquiries as needed
Assist with responding to due diligence inquiries from various distribution
Code of Ethics and e-mail review
Will likely lead the selection/implementation of compliance software

Bachelor’s degree and 5+ years’ experience in financial services (preferably
at a RIA or mutual fund firm)
Supervisory experience (of processes, not headcount) in a compliance setting
Understanding of ’40 Act and Advisers Act; familiarity with RIA/mutual fund
marketing/advertising standards
Experience creating/testing compliance procedures and dealing with regulatory
agencies and internal/external auditors

Alternative Investments // Asset Management // Compliance and Legal