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Illinois Licensed Compliance Manager
A company is looking for a Compliance Manager - Wealth. Key Responsibilities Perform ongoing oversight testing and surveillance activities for affiliated registered investment adviser firms Assist in maintaining and updating required books and records, including policies and procedures Develop and analyze reporting necessary for oversight of business and programs across investment adviser firms Required Qualifications 5+ years of securities industry experience within investment advisory services 3 to 5 years of compliance experience with a registered investment advisor, preferably in testing or surveillance A four (4) year college degree or equivalent experience is required Proficiency with Microsoft Office Suite, particularly strong Excel skills Superior customer service skills
A company is looking for a Compliance Manager - Wealth.
Key Responsibilities
Perform ongoing oversight testing and surveillance activities for affiliated registered investment adviser firms
Assist in maintaining and updating required books and records, including policies and procedures
Develop and analyze reporting necessary for oversight of business and programs across investment adviser firms
Required Qualifications
5+ years of securities industry experience within investment advisory services
3 to 5 years of compliance experience with a registered investment advisor, preferably in testing or surveillance
A four (4) year college degree or equivalent experience is required
Proficiency with Microsoft Office Suite, particularly strong Excel skills
Superior customer service skills