Senior Compliance Officer
Ziegler Capital Management, LLC
Location: Chicago, IL 60606
SUMMARY
The Senior Compliance Officer will support F/m Investments LLC’s RIA compliance function for all strategies and products, including multiple series trusts containing mutual funds and exchange traded funds as well as a large number of institutional separate account strategies. This position will assist in compliance oversight of all functions of an SEC-registered investment adviser such as Code of Ethics, Electronic Communications, Best Execution, Aggregation and Allocation, and mutual fund board compliance materials.
ESSENTIAL DUTIES AND RESPONSIBILITIES
• Develop, implement, and oversee the firm's compliance policies, procedures, and internal controls, ensuring alignment with regulatory requirements and industry standards.
• Analyze firm business practices and developments for applicable regulatory implications and provide proactive, expert guidance.
• Manage relationships with third party compliance consultants.
• Oversee all review, authorization and record-keeping of covered activities (i.e. preclearance of securities trades).
• Lead the firm's efforts in obtaining and maintaining necessary licenses and registrations.
• Oversee the preparation and submission of regulatory filings and reports and mutual fund board filings and reports.
• Stay current with industry trends and best practices to continuously enhance the firm's compliance program.
• Ensure processes are documented in accordance with industry standards.
• Assist in the gathering of internal information in response to client and regulatory requests.
• Assists in other projects as assigned by the CCO.
• Some travel by car and/or air in conjunction with local, regional and/or national travel, up to 5%.
QUALIFICATIONS
• Strong knowledge of the Advisers Act a plus
• Proven experience in developing and implementing compliance processes and policies.
• Strong analytical and problem-solving abilities.
• Ability to work collaboratively across departments and levels of the organization.
• Detail-oriented, solutions-oriented and able to manage multiple tasks and priorities effectively.
• High level of personal and professional integrity and business ethics and expects the same from others.
• Excellent communication and interpersonal skills.
• Proficiency in relevant compliance software solutions and tools such as Global Relay, MCO, Salesforce, Venminder, Bloomberg AIM, and Advent/Moxy.
EDUCATION AND/OR EXPERIENCE
• Bachelor's degree in a relevant field; advanced degree or professional certifications (eg. IAACP) a plus
• 5+ years of experience in financial services compliance or risk management role with a registered investment advisor.
LICENSES AND CREDENTIALS
• Minimum Required: None
SYSTEMS AND TECHNOLOGY
• Proficiency in Microsoft Office, Global Relay, MCO, Salesforce, Venminder, Bloomberg AIM, and Advent/Moxy
HOW TO APPLY
Email Resume to compliancejob@zcm.com