Job was saved successfully.
Job was removed from Saved Jobs.

Senior Compliance Officer

100,000 – 110,000 yearly

NPAworldwide Recruitment Network

Last Updated: 11/25/22

Job Description

Job description:

Senior Compliance Officer

Chicago - Onsite

Candidate must be local to the Chicagoland area.

This opportunity requires candidate to have financial services industry experience.

Must be vaccinated. US Citizen or GC. No sponsorship. No relocation.

About The Role:

This individual will provide support to the Head of Regulatory Filings & Marketing Compliance for filing of U.S. and foreign substantial shareholding reports to regulators, issuers and other monitoring bodies (e.g., exchanges); preparing various compliance-related reports for U.S. regulators, and serving as a secondary back-up to the Investment Compliance function.

What Youll Do:

  • Serves as the primary resource for the preparation and filing of U.S. and foreign substantial shareholder reporting in various jurisdictions where Harris clients own securities and where thresholds for reporting have been reached. Involves working closely with in-house counsel, foreign counsel, in-depth understanding of the filing entities involved (e.g., Harris and/or other affiliates), the basis for computing filing obligations (e.g., investment discretion, proxy voting authority, total voting rights, total shares outstanding, etc.) Monitors shares outstanding updates. Will have access to a technical subject matter expert on a consultancy basis.
  • Monitors regulatory updates related to shareholding disclosures in various jurisdictions. Assesses their potential impact on the firm and provides informational updates to other business groups, as necessary.
  • Serves as a product owner for the systems used in substantial shareholder reporting (i.e., Rapptr, aosphere, etc.), and is an effective and proactive partner with IT, Operations, and business owners with respect to those systems.
  • Actively participates in industry groups and networks to keep abreast of trends and opportunities for the firm to increase efficiency and decrease risk in relation to substantial shareholder reporting.
  • Is very knowledgeable with the various systems and applications (proprietary or otherwise) used by the firm in conducting day to day business activities and functions (e.g., Axys, Salesforce, Charles River, etc.), and with minimal or no guidance, be able to obtain and manipulate data from these systems for use in regulatory reporting.
  • Actively participates in discussions with business unit personnel/management to better gain an understanding of relevant processes in order to improve regulatory reporting processes.
  • Writes and maintains procedures to document substantial shareholding processes and systems.
  • Serves as a back-up to the investment compliance function using Charles River Investment Management System. Has a working knowledge of the system, monitor and rule writing capabilities.
  • Creates and participates in opportunities for cross-training to promote cross-functional exposure within the Compliance department and to facilitate own ability to assume responsibility for additional projects/initiatives.

What Were Looking For:

  • Bachelors degree.
  • High level of integrity and the ability to maintain confidentiality of records and information.
  • Strong organizational skills; excellent verbal, writing and reading comprehension skills especially with legal documents.
  • Must possess strong MS Office (e.g., Word, Excel) skills.
  • Excellent attention to detail, a high degree of initiative and adaptability, and the ability to deliver timely work products.
  • The ability to work independently as well as in a team environment.
  • The ability to work with numerous and conflicting deadlines.

Preferred:

  • Degree in business administration, finance or related field.
  • Experience dealing with U.S. or foreign regulators.
  • Experience in the financial services industry and/or compliance.

Special Requirements:

  • Must be flexible to stay late or come in early as emergent issues arise.

Key Organizational Relationships:

  • Reporting line to the Head of Regulatory Filings & Marketing Compliance.
  • Regular contact with various departments.

OOJ 1255

Qualifications:
  • Bachelors degree.
  • High level of integrity and the ability to maintain confidentiality of records and information.
  • Strong organizational skills; excellent verbal, writing and reading comprehension skills especially with legal documents.
  • Must possess strong MS Office (e.g., Word, Excel) skills.
  • Excellent attention to detail, a high degree of initiative and adaptability, and the ability to deliver timely work products.
  • The ability to work independently as well as in a team environment.
  • The ability to work with numerous and conflicting deadlines.

Preferred:

  • Degree in business administration, finance or related field.
  • Experience dealing with U.S. or foreign regulators.
  • Experience in the financial services industry and/or compliance.

Special Requirements:

  • Must be flexible to stay late or come in early as emergent issues arise.

Key Organizational Relationships:

  • Reporting line to the Head of Regulatory Filings & Marketing Compliance.
  • Regular contact with various departments.
Why is This a Great Opportunity:

Established financial firm with tremendous growth opportunity.

Salary Type : Annual Salary

Salary Min : 100000

Salary Max : 110000

Currency Type : US Dollars



Company Details

Grand Rapids, Michigan, United States
NPAworldwide connects you to premier independent recruiting firms located throughout Europe, Asia, Australia, Africa and the Americas. Get connected with members around the world to widen your employer pool, get specialized placements, and find perfect matches -- all at no cost. Our members are placement professionals seeking long-term fits. Working with our recruiters gets you access to relocatio...