Objective of Role:
LaSalle is seeking a highly skilled and motivated person to join our team as Deputy CCO for LaSalle Investment Management Distributors, a registered broker dealer. The ideal candidate will have an in-depth knowledge of broad compliance matters relating to both broker dealer and investment advisory activities, along with a deep understanding of the related regulatory requirements. The successful candidate will work closely with the Americas CCO in the ongoing development and implementation of the firm’s compliance programs, with a defined pathway to a senior compliance role within the firm’s broker-dealer operating in the United States and the exempt market dealer in Canada. Given the overlap between the regulated businesses, however, this role will support all aspects of the firm’s compliance program, including providing regulatory guidance to business partners throughout the firm, conducting and/or facilitating the testing program, and administering the firm’s compliance policies and procedures.
This is a role that presents an attractive growth opportunity and will play a key role within a global, well-respected real estate investment advisor, which will provide the candidate with valuable exposure to various compliance areas, both in the U.S. and internationally, and opportunities to collaborate and engage with business executives. A key expectation of the role is the desire to work independently, build consensus, the ability to apply sound judgement, and thoughtful guidance when addressing complex business questions that intersect with compliance policies and procedures.
This role will appeal to individuals who enjoy working in a dynamic and fast-paced environment, are curious by nature and interested in expanding their skill sets, along with enjoying the challenges of adapting to new and evolving regulatory requirements.
Key Experience:
Broad experience within a regulated entity as a broker-dealer with an understanding of investment advisory regulations, with a proven record managing compliance testing, regulatory filings, and internal policy development. Experience coordinating across jurisdictions (U.S. and Canada) is ideal.
Accountabilities:
- Implement and support the Compliance Department’s strategic program in alignment with LaSalle’s overall business strategy with limited oversight
- Respond to business inquiries in a collaborative and timely way by providing expert guidance sharing the regulatory requirements along with identified risks to investors and the firm
- Review marketing and capital raising materials in collaboration with the Global Funds Team (GFT) and Legal & Compliance leads, ensuring adherence to all marketing regulatory requirements
- Administer compliance technology platform, including Code of Ethics and employee personal trade reporting ensuring that brokerage account electronic feeds are correctly maintained, as well as overseeing that items identified in the compliance calendar are addressed and resolved in compliance platform in a timely manner
- Coordinate with the CCO on the annual compliance reviews, along with the development and implementation of compliance policies and procedures, and risk frameworks
- Research and interpret complex regulatory topics, autonomously formulate solutions and actionable plans to enhance compliance program
- Advanced knowledge in regulatory compliance, AML frameworks, and compliance program management
- Provide guidance and training/mentoring to assist in the development of the compliance team that supports growth and operational excellence
- Keep abreast of changing regulatory environment for proposed rules, guidance and industry trends which may affect the firm and implement identified updates to its compliance program
- Assist the CCO in the evolution of the compliance program by implementing and enhancing compliance technology systems to enhance controls, monitor for risk and support program automation
- Assist in the design and delivery of compliance training across multiple businesses
- Contribute to ad-hoc projects, including support of Americas CCO for regulatory examinations and projects originated by the Americas General Counsel
Required Qualifications & Experience:
- Bachelor’s degree
- 8 years of experience working in a regulatory and/or compliance-driven environment
- Broad knowledge of federal securities laws
- FINRA Series 7 and 24 and Canadian licenses are necessary requirements for the role. Applicants hired without the license will be required to obtain the FINRA licenses within six months of hire and the Canadian license within 12 months.
- Certification in a related field of practice is a plus.
- Delivers on commitments, acts with integrity, and takes ownership of outcomes
- Excellent written and oral communication skills
- Effective analytical, project management, problem solving and decision-making skills
- Resourceful, adaptable, and accountable, with proven ability to navigate complex regulatory environments and interact with senior management
- Discretion and ability to handle sensitive information on a confidential basis are critical
- Capable of managing multiple compliance programs, projects and initiatives concurrently
- Self-motivated with a strong work ethic that is able to work equally well independently and as part of a team
- Ability to collaborate in a team environment across departments and seniority levels while employing professionalism and collegiality is essential
What LaSalle Offers:
- A comprehensive benefits package designed to support employees' well-being and work-life balance, including the following (all benefits subject to hired employees meeting requirements for eligibility):
- Health benefits include medical, dental, vision, mental health support and additional ancillary insurance plans.
- Generous paid time-off, including paid company holidays. Additional benefits include paid parental leave short-term and long-term disability, as well as other care/wellness programs.
- Financial wellness is supported through a 401(k) plan with a company match, flexible spending accounts or a health savings account.
- The salary range for this position is estimated to be between $210,000 - $220,000 and is dependent on experience, location, and appropriate market data. This role is eligible for an annual discretionary bonus subject to the terms and conditions of the LaSalle Bonus program.
US Jobs Only: This position does not provide visa sponsorship. Candidates must be authorized to work in the United States without employer sponsorship.
Estimated compensation for this position:
210,000.00 – 220,000.00 USD per year
This range is an estimate and actual compensation may differ. Final compensation packages are determined by various considerations including but not limited to candidate qualifications, location, market conditions, and internal considerations.
Location:
On-site –Chicago, IL
Opening Type:
Replacement
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