Illinois Licensed Compliance Manager

Job Summary

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