Jan 03, 2023

Compliance Officer

  • Great Lakes Advisors, LLC
  • Hybrid (Stamford, CT, USA)
Full time Fund Management

Job Description

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.

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