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svp compliance officer
SVP, Compliance Officer
Mesirow
Chicago, IL
Aug 13, 2026
The Opportunity: Mesirow is an independent, employee-owned financial services firm founded in 1937. Headquartered in Chicago, with offices around the world, we serve clients through a personal, custom approach to reaching financial goals and acting as a force for social good. With capabilities spanning Private Capital & Currency, Capital Markets & Investment Banking, and Advisory Services, we invest in what matters: our clients, our communities and our culture. We are proud of our employee-owned culture, built on collaboration and shared success, empowering our professionals to develop meaningful relationships, pursue growth opportunities and make a lasting impact for our clients and communities. Mesirow has been named one of the Best Places to Work in Chicago by  Crain’s Chicago Business  multiple times and is one of  Barron’s  Top 100 RIA firms. As a Compliance Officer at Mesirow, the role will be responsible for supporting all aspects of the Compliance Department...
AVP, Fixed Income Compliance Officer
Jefferies
New York, NY
Aug 13, 2026
AVP, Fixed Income Compliance Officer Location: New York, NY This position is well-suited for a candidate with strong analytical and technical skills who is interested in developing fixed income compliance expertise. The successful candidate will assist with compliance reporting, metrics, dashboards, monitoring, data analysis, and process improvements, while supporting the broader team on regulatory and advisory matters. Key Responsibilities Support the Fixed Income Compliance Advisory team through data analysis, reporting, and preparation of compliance metrics related to Fixed Income Sales & Trading activity. Develop, maintain, and enhance recurring reports, dashboards, trackers, and management information used to monitor compliance risks, regulatory obligations, and control processes. Assist with compiling and analyzing data related to U.S. Rates, Credit products, primary dealer activities, Treasury auctions, certifications, disclosures, and other fixed...
Chief Compliance Officer - NLG Capital
National Life Insurance Company
Addison, TX
Aug 13, 2026
Come join one of America’s fastest-growing insurance companies. Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad. Throughout that history, we have provided peace of mind to those families as they plan their futures. Our mission extends beyond the insurance and annuities policies that we offer. We strive to make the world a better place through our grants from our charitable foundation, paid volunteer time for our employees, environmentally sustainable and healthy workplaces, and events that promote the work of nonprofits in our own backyard. We foster a collaborative environment with opportunities for growth and encourage our associates to live our values: Do good. Be good. Make good. Job Summary The Chief Compliance Officer (CCO) will lead and oversee the compliance program for NLG Capital, Inc. (the Firm), an SEC-registered investment adviser within the National Life Group family of companies....
Data Platform Engineer, VP II - State Street Investment Management
State Street
Quincy, MA
Aug 12, 2026
Who we are looking for State Street Investment Management’s Data, Analytics & AI Services (DAAIS) team is seeking an experienced Vice President – Technology Lead to lead the architecture, engineering execution, modernization strategy, and technology roadmap supporting the investment management business. This role is accountable for the architecture, engineering delivery, and operational excellence of modern data platform and software capabilities that enable the investment management business. The successful candidate will bring deep hands-on expertise in large-scale data platform architecture, distributed computing, data pipeline engineering, and modern cloud architecture. Why this role is important to us The team you will be joining is a part of State Street Investment Management, one of the largest asset managers in the world. We partner with many of the world’s largest, most sophisticated investors and financial intermediaries to help them reach their goals through...
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SVP, Compliance Officer

Mesirow
Apply Now
Chicago, Illinois, United States
Aug 13, 2026
Compliance

The Opportunity:

Mesirow is an independent, employee-owned financial services firm founded in 1937. Headquartered in Chicago, with offices around the world, we serve clients through a personal, custom approach to reaching financial goals and acting as a force for social good. With capabilities spanning Private Capital & Currency, Capital Markets & Investment Banking, and Advisory Services, we invest in what matters: our clients, our communities and our culture. We are proud of our employee-owned culture, built on collaboration and shared success, empowering our professionals to develop meaningful relationships, pursue growth opportunities and make a lasting impact for our clients and communities. Mesirow has been named one of the Best Places to Work in Chicago by Crain’s Chicago Business multiple times and is one of Barron’s Top 100 RIA firms.

As a Compliance Officer at Mesirow, the role will be responsible for supporting all aspects of the Compliance Department including review and marketing materials, Code of Ethics monitoring, trade surveillance monitoring, testing, training, and developing compliance policies, procedures and internal controls. This position reports to and works in close coordination with the Chief Compliance Officer.

We currently operate in a hybrid working model, whereby you will be required to work in-office 3 days a week.

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: 

  • 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)

In accordance with the Illinois Pay Transparency Law, the anticipated hiring base salary for the role will be between $95,000 and $125,000 per year. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, also provides the opportunity for a bonus and the Mesirow benefit program.

EOE

About Mesirow
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