First Vice President, Compliance Greater Chicago, IL Area

The Company is seeking a 1st Vice President, Compliance to join their team. The successful candidate will be responsible for supporting the Chief Compliance Officer in maintaining a robust compliance program that adheres to all relevant federal, state, and local laws and regulations. This role involves day-to-day management of the compliance program, including oversight of a small team, and a commitment to upholding the highest ethical standards. Key responsibilities include investment compliance, risk assessment, policy development, code of ethics review, training, marketing and advertising compliance, regulatory filings, and board reporting. The ideal candidate will have a strong background in compliance, with a focus on investment company and credit investment experience, and a proven track record of effectively managing compliance-related matters. Applicants for the 1st Vice President, Compliance position at the company should have a minimum of 10 years' experience in a compliance role within the financial services industry, with at least 3 years' specifically in investment company compliance. A background in credit investment, such as CLOs, BSLs, CMBS, or direct lending, is essential, and experience in trade compliance is a plus. The role requires a deep understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940, as well as strong communication, analytical, and problem-solving skills. The candidate should be detail-oriented, proficient in policy development, and have excellent organizational and project management abilities. The position also involves supervisory responsibilities, so leadership and team management experience is necessary.

Hiring Company

CIM Group