New job Compliance Administrator Generalist - Chicago, IL

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Group: Job Openings, Job Leads and Job Connections! Subject: Compliance Administrator Generalist - Chicago, IL Matthew Weller posted a job: Compliance Administrator Generalist - Chicago, IL "Summary/Responsibilities: Diversified Financial Services firm seeks an experience Compliance professional lend support to the existing compliance program in a wide variety of areas. Assist Senior Compliance Administrators and provide back-up coverage for all of their responsibilities Interpret, provide advice, and administer/monitor the Firm’s Code of Ethics for personal trading Identify potential violations of rules/policies/procedures with thorough knowledge and understanding of regulations Provide ongoing training to home office staff on Code of Ethics Maintain, establish and identify potential violations of client objectives/restrictions in the trading system Establish and maintain compliance files/records including product/account documentation Prepare and file with the SEC the 13F report and other required regulatory reports Maintain and review proxy voting Assist with 15C reporting requirements Administer/monitor all annual mailing requirements, i.e. privacy policy, proxy policy and ADV annual solicitation Provide assistance to outside auditors and subpoenas Review and analyze trading exception reports to identify and respond to any trends or patterns In collaboration with the Senior Administrators perform office inspections (audits) Identify potential violations of rules, policies, and procedures through thorough knowledge and understanding of regulations Recommend changes to policies and procedures needed as laws, rules, and business functions evolve Prepare written reports of audit findings and follows up to ensure any noted deficiencies have been corrected Maintain current and historical records of the internal compliance audit function Must present complex information to management and others both in written and verbal form Reviews and approves the firm’s marketing and advertisement materials to ascertain they are in compliance with GIPS and all federal regulatory requirements. Review and approve updates to the firm’s websites Perform miscellaneous duties as required by management Requirements: College degree required or 3-5 years compliance experience or completion of a certified compliance professional program. Knowledge of the investment industry and investment terminology Extensive knowledge of and expertise in use of Word, Excel and PowerPoint Strong attention to detail, excellent communication skills and ability to work independently essential Must possess strong analytical aptitude Ability to understand the viewpoint and perspective of investment managers Ability to work/promote collaborative efforts within department and across departmental lines including all levels of management. Significant initiative and self-reliance required to ensure that data is correct and compiled on a timely basis Apply at: http://www.brokeragejobs.com/jobdetails:177642"

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