Robert Half Corporation Jobs

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Robert Half Compliance Officer - Subadviser in Chicago, Illinois

Description

Exciting opportunity open at a rapidly growing firm located in Downtown Chicago!!

To apply to this role, please send your resume to John Sadofsky at john.sadofsky@roberthalf.c0m

Subadviser/Model/Index Provider Oversight:

• Perform substantive review and cross-monitoring of subadvisers’ and model/index providers’ monthly, quarterly and annual questionnaires and related materials, including policies and procedures and internal control reports

• Daily work on web-based platform to update tracking logs, monitor information received and run reports. Collaborate with teammates and/or request additional information from subadvisers/model/index provider contacts when appropriate

• Determine completeness and reasonability of information/data provided in response to requests or questionnaires initiated. Materials flow to quarterly Board reporting, including materials received to comply with annual 15(c) request

• Potential travel in connection with participation in virtual or onsite subadviser/model/index provider inspections

• Routine and off-cycle updating of questionnaires on platform due to regulation changes, product launches, etc.

Document Drafting

• Assist in drafting comprehensive due diligence reports and PowerPoint presentations covering subadviser/model/index provider inspections

• Assist with drafting memoranda relating to quarterly board reporting

• Environmental, Social and Governance (ESG)

• Assist with environmental, social, and governance (ESG) factor analysis

• General Compliance Matters

• Support the administration of Harbor Capital’s oversight functions

• Assist with other compliance monitoring activities as needed

• Seek to implement process improvements within the compliance framework

Requirements

MINIMUM QUALIFICATIONS

• Strong academic credentials. Bachelor’s Degree or higher required

• 5-7 years of experience working with the Investment Advisers Act of 1940 and/or Investment Company Act of 1940 in a financial services firm, compliance consulting firm or law firm required

• Committed to maintaining the highest ethical standards

To apply to this role, please send your resume to John Sadofsky at john.sadofsky@roberthalf.c0m

Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

Robert Half puts you in the best position to succeed by advocating on your behalf and promoting you to employers. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity – even on the go. Download the Robert Half app (https://www.roberthalf.com/mobile) and get 1-tap apply, instant notifications for AI-matched jobs, and more.

Questions? Call your local office at 1.888.490.5461. Robert Half will consider qualified applicants with criminal histories in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. All applicants applying for U.S. job openings must be authorized to work in the United States. Benefits are available to temporary professionals. Visit https://roberthalf.gobenefits.net/ for more information.

© 2022 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https://www.roberthalf.com/terms-of-use) .

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