The Opportunity:As a Compliance Officer at Mesirow, the role will be responsible for supporting all aspects of the Compliance Department including review and marketing materials, Code of Ethics monitoring, trade surveillance monitoring, testing, training, and developing compliance policies, procedures and internal controls. This position reports to and works in close coordination with the Chief Compliance Officer.
We currently operate in a hybrid working model, whereby you will be required to work in-office 3 days a week.
Responsibilities:- Manage the Firm's Code of Ethics Program including policies governing personal trading, gifts and entertainment, outside business activities, political contributions, conflicts of interest, and certifications.
- Assist in the development of compliance training programs, including the on-going development of training materials and conducting training sessions for all new and existing employee.
- Reviews marketing materials to ensure compliance with applicable rules and regulations.
- Review and analyze AML program, KYC profiles, and transactions in accordance with established procedures and policy.
- Maintain and support the compliance technology platform, including monitoring systems, employee certifications, disclosures, surveillance tools, and related vendor relationships.
- Develop and maintain strong working relationships with Business, Compliance, Legal and Risk groups.
- Monitor and stay current on relevant laws, regulations, and industry standards.
- Assist in the preparation of required regulatory filings.
- Lead the integration of AI tools and automation within the Compliance Department to enhance efficiency and scalability.
- Perform other compliance-related responsibilities and special projects as needed.
Qualifications: - Bachelor's degree in business, finance, or a related field.
- 5 + years of Financial Services Industry experience (Registered Investment Adviser experience a plus)
- A strong understanding of regulatory requirements and industry standards (i.e. Investment Advisors Act of 1940, Rule 206(4)-7, and federal securities laws).
- Experience with STAR Compliance, Global Relay, Red Oak, Quest, and other compliance platforms preferred.
- ACAMS, Series 7, Series 24, Series 65/66, or other relevant industry certifications preferred.
- Excellent analytical and problem-solving skills.
- Proficiency in data analysis and reporting tools (e.g., Excel, data visualization software)
In accordance with the Illinois Pay Transparency Law, the anticipated hiring base salary for the role will be between $95,000 and $125,000 per year. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, also provides the opportunity for a bonus and the Mesirow benefit program.
EOE
