Job Description
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This range is provided by LHH. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
$275,000.00/yr - $300,000.00/yr
Chief Compliance Officer (Hybrid – Greater Chicago Area)
A leading quantitative investment firm is seeking a seasoned Chief Compliance Officer to oversee and enhance its compliance program. This hybrid role offers the opportunity to work closely with executive leadership and investment professionals in a dynamic, data-driven environment.
Key Responsibilities:
- Lead the firm’s compliance program, ensuring adherence to the Investment Advisers Act of 1940 and other applicable regulations.
- Serve as the primary liaison with regulatory bodies, including the SEC.
- Develop, implement, and monitor policies and procedures to ensure firm-wide compliance.
- Conduct internal audits, risk assessments, and compliance training.
- Oversee marketing reviews, code of ethics administration, and personal trading policies.
- Manage regulatory filings, including Form ADV, Form PF, and other disclosures.
- Collaborate with legal, operations, and investment teams to support business initiatives while mitigating compliance risk.
Qualifications:
- 10+ years of experience in investment management compliance, with deep expertise in the Investment Advisers Act of 1940.
- Prior experience as a CCO or senior compliance leader at a registered investment adviser.
- Strong understanding of quantitative strategies, private funds, and regulatory reporting.
- Excellent judgment, communication, and leadership skills.
Seniority level
Seniority level
Executive
Employment type
Employment type
Full-time
Job function
Job function
Legal Industries
Legal Services
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Job Tags
Full time, 16 hours,