Mesirow

Location: Chicago

Key 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 and Requirements:

• 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).

To apply: https://recruiting2.ultipro.com/MES1003MFAC/JobBoard/69451223-cdce-4faf-9407-23a2cd5ac83b/OpportunityDetail?opportunityId=a2bee929-905f-4013-99c7-893b32c4cea2