Mar 13, 2023

Chief Compliance Officer

  • Fiducient Advisors
  • Hybrid (Chicago, IL, USA)
Full time Finance Legal

Job Description

Fiducient Advisors opened its doors on May 1, 1995, striving to provide tailored and personalized investment consulting services. Our clients include retirement plan sponsors, endowments and foundations, private clients and financial institutions. We abide by a fiduciary obligation to put our clients' interests first. This begins by providing advice addressing each client’s unique concerns, obligations and goals.

We operate with over 200 professionals nationwide, supporting our distinct purpose of helping clients prosper. We strive for professional satisfaction by upholding our firm guideposts ensuring we check egos at the door, take accountability and are thoughtfully driven.

Functions & Responsibilities:

• Lead compliance program in accordance with the Investment Advisers Act of 1940, including responsibility over compliance documentation (Compliance Manual, Code of Ethics, Policies and Procedures), compliance testing and monitoring program, and employee compliance training
• Guide, develop and support members of the Legal, Risk and Compliance team
• Develop, oversee and prepare periodic reports to senior management and Executive Committee
• Evaluate new or enhanced services, processes or initiatives for compliance issues
• Maintain effective compliance communication, including promoting heightened awareness of compliance requirements, understanding of new and existing compliance issues and related policies and procedures
• Assist with the maintenance of new and updated client agreements
• Perform regulatory research and assessment of new regulatory developments for all business lines
• Oversee regulatory filings and IAR registrations
• Maintain awareness and understanding of ERISA regulations impacting the firm’s business
• Identify and anticipate potential risks, chair the Risk Committee, and lead risk management activities
• Maintain and build trusted relationships with essential business partners, colleagues, and key stakeholders

Knowledge, Skills & Abilities:

• Bachelor’s degree required
• 5-7 years of practice with an SEC registered investment adviser, regulator or in-house legal department with experience primarily in financial services and securities regulation
• Knowledge and experience with institutional clients
• Knowledge and experience in ERISA is a plus
• Detail-oriented with a high level of accuracy and organization
• Leadership skills, with steadfast resolve and personal integrity
• Ability to diagnose problems quickly and have foresight into potential issues
• Proactive communicator with excellent oral and written communication skills
• Strategic business partner at all levels of leadership
• Success managing and optimizing teams of people
• A mindful and respectful approach to a culture of compliance
• Thoughtfully driven, accountable, and able to check your ego

Travel Requirements:

• Less than 5-10% of travel for training and business events

Work Environment:

• This role works in a professional office environment located in Chicago, IL
• This role routinely uses standard office equipment such as computers, phones, and photocopiers

Physical Job Expectations:

The physical job expectations described here are representative of those that must be met by an associate to successfully perform the essential functions of this job.
• Sitting, particularly for sustained periods of time
• Regularly required to speak and hear
• Frequently required to stand, walk, use hands and fingers, handle or feel and reach with hands and arms
• Ability to lift up to 25 pounds
• Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions

Fiducient Advisors provides equal employment opportunities to all associates and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

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