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Compliance Officer

  • Location: Chicago, IL
  • Job Type: Direct Placement
  • Ref No: 21-00871
  • Date: February 19, 2021
  • Job title:

Job Description - Compliance Officer

 The Legal and Compliance Team is responsible for developing and maintaining the compliance programs. This role will be responsible for supporting a range of projects across the Legal and Compliance Team.  This role requires strong attention to detail, well developed organizational skills, and the ability to handle multiple tasks at the same time in a fast-paced organization.  This position can be based either in Boston or Chicago.


Marketing and Advertising

  • Provide support for review of marketing materials to ensure compliance with applicable regulatory requirements (e.g., Client, SEC, NFA) and filing of materials with regulators as needed
  • Determine how existing regulations apply to various categories of communications including but not limited to retail communications, institutional sales literature, and internal use only materials
  • Work closely and collaboratively with the Marketing Team on new initiatives, including social media campaigns
  • Implement and enhance compliance policies, procedures, and processes

Forensic Testing

  • Perform forensic testing of compliance-related activities

General Compliance Matters

  • Assist with various compliance monitoring activities
  • Update policies and procedures; draft new policies and procedures as requested

Regulatory Filings

  • Assist with the preparation and submission of various regulatory filings


  • Drives for Results
  • Creates Culture of Collaboration
  • Change Leadership
  • Communication & Engagement
  • Unleashes Innovation
  • Agility & Adaptability


  • Bachelor's Degree or equivalent required
  • A minimum of 3 years of experience in a financial services firm or law firm
  • Experience with ETFs and multi-asset products and solutions and/or operating in a manager-of-managers structure would all be pluses
  • Committed to maintaining the highest ethical standards


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