Vice President – Compliance recruitment
Ziegler Lotsoff Capital Management, an innovative investment management firm with locations in Chicago and Milwaukee, has an opportunity for a motivated individual to join our team as Vice President of Compliance to assist the Chief Compliance Officer in administrating the policies and procedures for the registered investment company and adviser. We offer a competitive compensation and benefits package along with a dynamic working environment. Qualified candidates should send their resume, cover letter, and desired salary to by clicking "APPLY ONLINE:
Duties Responsibilities:
- Assist the chief compliance officer in analyzing, implementing and monitoring compliance with policies and procedures of the registered investment companies and the registered investment adviser
- Conduct in-house reviews to test compliance policies and procedures pursuant to Investment Adviser’s Act Rule 206 (4)-7 and Investment Company Act Rule 38(A)-1.
- Monitor client portfolio trading activity against investment restrictions and other contractual requirements.
- Act as liaison of and provide oversight of third-party service providers
- Preparation of board and audit committee materials
- Participate in the development of compliance processes, policies and procedures to demonstrate that the firm has appropriate internal controls
- Assist with training firm employees about policies and procedures and applicable federal securities laws.
- Assist with human resources functions
Qualifications:
- College degree or greater
- 7 + years compliance experience in the Investment Management Industry with a strong background in the Investment Advisers Act of 1940 as well as the Investment Company Act of 1940
- Demonstrated ability for strong management, organizational, communications, analytic and presentation skills
- Demonstrated ability to analyze regulatory and compliance program requirements
- Some human resources experience preferred
- This position is located in our Chicago headquarters
August 8, 2012
• Tags: Accounting & Finance careers in the USA, Compliance recruitment, Vice President • Posted in: Financial