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Job Order:
0035-52-711

Job Type:
Permanent

Title:
Regional Compliance Manager (Private Wealth Management)

Location:
Chicago

Description:
Summary/Responsibilities:
Global firm seeks Regional Compliance Manager to sit within Chicago Private Wealth Management group and conduct/supervise its business in compliance with regulations/firm policies, helping to reduce firm regulatory/reputational risk, and maintain commitment to a culture of compliance
Advise/train office and Regional Manager on rules/regulations/firm policies
Conduct account/trade surveillance
Review/approve client correspondence/marketing materials
Resolve trade errors/trade booking issues
Resolve client issues/inquiries
Conduct compliance training of Private Wealth Management personnel
Review new clients
Interact with Divisional Compliance on various compliance related issues/projects
Communicate regularly with Compliance Management to update on office issues/outstanding open surveillance exceptions/compliance projects/personnel related issues

Requirements:
5+ years compliance experience in financial services (regulatory organization would be applicable)
College degree with strong GPA required
Series 9/10 strongly preferred; Series 7/63 required (9/10 must be obtained immediately if not held)
Strong knowledge of investment products combined with applicable securities regulations absolutely required
Training experience and presentation skills strongly preferred


Category:
Alternative Investments // Asset Management // Broker Dealer

Contact:
nathan@bcius.com