We have an opening for a Compliance Officer at Great Lakes Advisors, LLC, a subsidiary of Wintrust Financial Corporation based in Illinois. The primary focus for this person will be to lead compliance oversight of subadvisors and other key service providers specific to our Stamford, CT office. If anyone has interest, they can use the link below for more details and to apply:
The Compliance Officer, Sub-Advisory and ERISA Funds, will be a senior member of GLA’s compliance department and will primarily focus on supporting the registered investment company and ERISA plan assets clients. The position will serve as the compliance program lead working closely with other members of the GLA and Wintrust compliance department, business partners, legal team, portfolio management and operations teams, and other service providers and stakeholders on the daily administration of the compliance programs. This includes supporting all aspects of the compliance program in the Stamford, CT office, including among other things the design and operation of compliance policies and procedures, risk evaluations and conflicts monitoring, testing, training, addressing violations, and client reporting. The person in this role must stay current on legal and regulatory developments and best practices impacting registered mutual funds and their investment advisers and ERISA plan assets funds, and support the design and implementation of appropriate adjustments to the compliance programs and risk management processes. The position will report to the Chief Compliance Officer (CCO) for the company.
Great Lakes Advisors, LLC is an SEC-registered Investment Advisor headquartered in Chicago, Illinois with an additional office in Tampa, Florida. Established in 1981, Great Lakes Advisors, LLC manages and advises on assets for the full range of both institutional and private wealth clients. We offer actively managed equity, fixed income, and multi-asset strategies to our clients and strive to be a collaborative partner in helping them to attain their investment goals. In 2011, Great Lakes Advisors, Inc. was acquired by Wintrust Financial Corporation, a publicly traded financial services company (NASDAQ: WTFC). Operating as a stand-alone investment manager and as a wholly owned subsidiary of WTFC, Great Lakes Advisors, LLC has ample resources with the strong balance sheet that Wintrust provides.