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
• Less than 5-10% of travel for training and business events
• 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.
Fiducient Advisors opened its doors on May 1, 1995 striving to provide unparalleled and customized investment consulting services. Our clients include retirement plan sponsors, nonprofit organizations, private clients and financial institutions. We abide by a fiduciary obligation to put our clients' interests first. The hallmarks of our firm are simple:
Help Clients Prosper Backed by years of experience, our goal is to help clients develop a framework for success. This can mean improved performance, reduced expenses, or assistance in satisfying fiduciary and stewardship responsibilities.
Place Clients' Interests First Our goal is to provide straightforward advice. We do not offer proprietary products or receive commissions. Nor do we charge money managers or vendors to be included in our database. Our seasoned professionals hold advanced certifications and degrees, but we believe our ability to communicate with clients sets us apart. First we listen. Then we offer meaningful recommendations in a proactive, timely manner.
Practical Intellectual Capital We strive to improve returns, reduce risk or both. Equipped with proprietary modeling tools, we provide practical solutions for complex issues.
Our unique and substantial commitment to clients is backed by an unconditional service guarantee. We would like to be your valuable resource and welcome the opportunity to prove ourselves.