Job Description

Senior Compliance Officer

Location: Chicago, IL

Salary: $180,000 - $250,000 + Performance Bonus

Are you an experienced compliance professional with a deep understanding of SEC regulations? Do you have a passion for developing and enhancing Compliance Management Systems (CMS)? If so, this is an outstanding opportunity to take on a senior role in a dynamic and innovative quantitative research and development firm.

About the Role:

We are seeking a Senior Compliance Officer to play a key role in shaping and maintaining our compliance framework. This position will be responsible for ensuring adherence to SEC regulations while developing and refining our CMS to support business growth and operational integrity. The ideal candidate will bring expertise in regulatory compliance, risk management, and industry best practices, particularly within the financial services or quantitative research sector.

Key Responsibilities:

• Oversee and enhance the firm’s Compliance Management System (CMS) to align with SEC regulatory requirements.
• Serve as a subject matter expert on SEC regulations, advising senior leadership on compliance strategies.
• Develop, implement, and maintain policies and procedures to mitigate compliance risks.
• Conduct risk assessments and regulatory audits to ensure adherence to industry standards.
• Provide training and guidance to internal teams to foster a strong compliance culture.
• Liaise with regulatory bodies and ensure timely filings and reporting obligations are met.
• Stay ahead of regulatory changes and proactively adapt compliance frameworks accordingly.

Ideal Candidate Profile:

• Experience: 7-12 years in a compliance role, with a strong focus on SEC regulations.
• Industry Knowledge: Prior experience in financial services, quantitative research, or asset management is highly beneficial.
• Regulatory Expertise: Deep understanding of SEC, FINRA, and other relevant regulatory bodies.
• Skills: Strong analytical mindset, excellent communication abilities, and the ability to work cross-functionally with key stakeholders.
• Education: Bachelor’s degree required; JD or relevant compliance certifications

Why Join Us?

• Competitive Compensation: Base salary of $180,000 - $250,000, plus a performance-based bonus.
• Career Growth: This role offers clear advancement opportunities, with the potential to step into a leadership position.
• Comprehensive Benefits: Full healthcare coverage, generous 401(k) matching, and wellness programs.
• Cutting-Edge Industry: Work within a dynamic and highly technical quantitative research and development environment.
• Hybrid Work Model: Flexibility to balance office and remote work.

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