*** No visa sponsorships supported ***
JOB DESCRIPTION
The is looking to hire Compliance Manager at the Chicago Office. This is a mid-level management position with room for growth for highly motivated and exceptional performers. Team Leads will report to a Compliance Unit Head and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.
Responsibilities
Oversee and train a team of analysts responsible for monitoring reviews and investigations.
Monitor and manage daily investigative workflow, controls, and results metrics for the team, and ensure timely completion of tasks.
Engage senior management across corporate compliance, operations, and information technology to manage, report on, and improve investigative work.
Conduct supervisory reviews and provide constructive coaching and direction to team members.
Evaluate risk associated with AML and Financial Crime Risk processes and recommend enhancements, where appropriate
When needed, support and participate in internal, external, and regulatory audits and examinations.
Qualifications, Skills & Attributes:
3-5+ years of experience in investment management/AML compliance, preferably at a large broker or other financial institution with an international customer base.
2+ years of management experience.
Solid academic background. Bachelor’s Degree or commensurate military experience
Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
Ability to work in a small-team environment, work independently, and multi-task with minimal supervision.
High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
Outstanding leadership, communication, analytical, and project management skills.
Willingness and ability to obtain financial registration exams promptly
Certified Anti-Money Laundering Specialist (CAMS) or similar certification, including Series 7 or 24 are highly preferred
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