65 Chief Risk Officer jobs in Chicago

Position Information

Hiring Manager:
Senior Counsel
Department:
Legal & Compliance
Position Responsibilities

The Firm acts as an investment adviser to onshore and offshore private funds, managed accounts and both public and private business development companies. The Firm is seeking a Senior Compliance Officer to lead certain aspects of the Firm's compliance program. A thorough understanding of the Firm's products, services and regulatory framework is necessary in this role. This person will lead and manage routine and special projects on behalf of the broader Legal & Compliance Department.

Primary responsibilities of this position will be:

• Act as subject matter expert overseeing monitoring and testing of the Firm's regulatory compliance controls
• Establish and enhance compliance standards and design and implement improvements to internal control structures
• Develop and execute special or enhanced monitoring and testing techniques for new, complex or high-risk requirements, or in response to certain weaknesses discovered through routine assessments, testing, audits or exams
• Manage and complete regulatory filings
• Review advertising and sales materials, correspondence, investor communications and investor reports and other documents to ensure that these materials meet SEC advertising regulations and other regulatory rules, as applicable, and internal quality control standards
• Investigate and resolve compliance-related issues and advise Senior Management and Board on compliance matters
• Assess control design and effectiveness to mitigate compliance risk
• Manage certain special projects related to the Legal & Compliance Department as needed, e.g., policy updates due to regulatory changes, research and recommend solutions related to compliance matters
• Serve as a subject matter expert on the implementation and execution of testing regulatory compliance controls
• Effectively communicate compliance-related issues requiring management attention
• Stay apprised of regulatory matters and developments through reading, research and training through online webinars and conferences and assist with exam preparedness efforts
• Collaborate internally with other members of the Legal & Compliance Department to ensure consistent standards and effective communication

Candidate Requirements

Qualifications & Experience:

• Bachelor's degree or equivalent education required; JD from a top-tier institution is preferred but not required
• At least 8 years of relevant experience including experience with the Investment Advisers Act of 1940 and / or the Investment Company Act of 1940
• Knowledge and understanding of regulatory and industry best practices developments, particularly in the areas of compliance, corporate governance and risk management
• Preference for previous exposure to, and broad understanding of, the credit asset management business
• Strong analytical skills with experience in prioritization, issue identification and resolution
• Strong project management skills, ability to review materials quickly and ability to drive and meet deadlines
• Skilled in business writing and editing with strong attention to detail
• Quick learner who has an ability to grasp complicated financial concepts
• Capacity and passion for being part of a fast-growing, multi-office environment
• Team oriented with the ability to build relationships and earn the respect of others
• Self-starter with the ability to manage projects independently
• Ability to handle sensitive matters at all levels of the organization with discretion and confidentiality
• Ability to anticipate and react quickly to the evolving financial services regulatory environment
• Demonstrated knowledge base and stature to deliver solution-oriented advice in a manner that is respected and valued by business and staff group leaders and constituents
• Enthusiastic about working in office and creating a Gold Standard hybrid work culture

Critical Competencies for Success

Our Gold Standards Model defines key behaviors and competencies across 4 dimensions: Leadership, Achieving Results, Personal Effectiveness and Thinking Critically. These behaviors and competencies drive our ability to win together.

• Leadership: Role models in this area consistently focus on the right goals and priorities and continually develop themselves and others. Always team players, they influence and engage with others to contribute to a supportive and inclusive culture where all feel welcome.
• Achieving Results: Role models in this area are high achievers who develop careful plans and deliver consistently and effectively. They hold themselves and others accountable for delivering high quality results, and they remove barriers to ensure others can contribute and grow.
• Personal Effectiveness: Role models in this area build strong relationships, treat others with respect and communicate effectively. They are driven to exceed expectations and are adaptable to changing circumstances.
• Thinking Critically: Role models in this area understand our business, rely on analytical reasoning and seek diverse perspectives to solve problems. They are forward thinking, anticipating issues and addressing them in advance.

The department-specific competencies define the knowledge, skills and abilities that are needed to successfully perform the functional or technical work of this role.

• Industry Knowledge: Demonstrates an understanding of the Firm's position in the industry, including its complex structure and competitive advantage in the marketplace. Monitors industry trends and changes and recognizes their relevancy and implications.
• Technical Communication and Documentation: Documents and communicates technical processes and procedures in area of specialty to stakeholders. Adapts the level of detail and specificity based on the needs of the intended audience.
• Compliance: Ensures compliance with laws and regulations and stays current with legislative and regulatory changes that impact the Firm.
• Contract Management: Leverages an understanding of the regulatory, legal and compliance elements of contracting to interpret and ensure adherence to contract agreements throughout the lifecycle of agreements.
• Negotiation: Applies advanced negotiating techniques and a consultative approach with customers and internal stakeholders to compliantly create measurable short- and long-term values that leads to mutually beneficial outcomes.
• Project / Program Management: Manages projects and / or programs through planning, identifying resources, monitoring and communicating project activities and assessing impacts of project decisions.

Compensation and Benefits
For Illinois Only: It is expected that the base salary range for this position will be $220,000 to $80,000 for a Senior Compliance Officer and 150,000 to 200,000 for a Compliance Officer. Actual salaries may vary based on factors such as skills, experiences and qualifications for the role. The total compensation package for this position may also include other elements and discretionary awards in addition to a full range of medical, financial and / or other benefits (including 401(k) eligibility and various paid time off benefits such as vacation, sick time and parental leave) dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment. If hired, the employee will be in an 'at-will position' and the Firm reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time including for reasons related to individual performance, Firm or individual department / team performance and market factors.

Golub Capital is an Equal Opportunity Employer.

Due to the highly regulated nature of Golub Capital's business and because of the sensitivity of the information that all personnel have access to, Golub Capital performs extensive and thorough pre-hire screens to ensure that its personnel act with expected levels of integrity, professionalism and personal responsibility.

About Northern Trust:

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.

Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.

Role: ERISA Compliance Officer

This role will focus on the Northern Trust's compliance with the Employee Retirement Income Security Act of 1974, as amended ("ERISA") and the parallel provisions under the Internal Revenue Code of 1986, as amended (the "Code") with respect to Northern Trust's business.

The key responsibilities of the role include:
• Effectively works with ERISA Attorney and internal business units, risk management and compliance functions to develop, enhance, administer, and maintain a comprehensive ERISA/prohibited transaction compliance program (including drafting and revising policies and procedures).
• Supports ERISA Attorney in connection with developing appropriate training and awareness programs regarding ERISA/prohibited transaction issues.
• Oversees monitoring and testing program to confirm ERISA-related compliance. In the event such testing identifies issues, irregularities and violations, investigates and assists ERISA Attorney with any required corrections thereof.
• Confirms and oversees recordkeeping that demonstrates compliance with ERISA and the Code.
• Promotes a positive compliance culture through communication and oversight of regulatory responsibilities at all levels and develops strong working relationships with applicable business units.
• Effectively and respectfully interacts with partners (e.g., relationship managers, Risk/Compliance, Tax, Legal Department, Human Resources) or external parties (e.g., regulators, other financial institutions, investigations staff), as appropriate.
• Assists, as necessary, in responding to regulatory inquiries, examinations, and subpoenas from the Department of Labor, Internal Revenue Service, and Pension Benefit Guaranty Corporation.
• Stays up-to-date on applicable regulatory developments affecting financial institutions and clients, generally, and how such developments bear on Northern Trust's business, specifically.

Skills/Qualifications:
• Must have 10+ years of related experience and 5+ years' experience developing and maintaining compliance program within a financial institution
• Ideally have knowledge of ERISA/prohibited transaction rules
• Must have experience reviewing and analyzing data for purposes of compliance testing.
• Experience interacting with regulators and auditors and leading regulatory exams.
• Must be a self-starter, able to work both independently and as part of a team.
• Exceptional written, verbal, and interpersonal skills.
• This role requires collaboration, confidence, insightfulness and tech-savvy.
• Strong analytical abilities and judgment.
• Exceptional communication and organizational skills to work effectively and cooperatively with internal and external clients, management and staff and to coordinate business functions with other departments.
• Bachelor's degree required; advanced degree or JD preferred.
• Experience working at the SEC, Department of Labor or Internal Revenue Service a plus.

Working Model: Hybrid (#LI-Hybrid)
We have a balanced hybrid working model to ensure you get the flexibility you need, and the successful candidate will spend their time between working in the office and working from home.

Salary Range:
$114,700 - 194,900 USD

Salary range is a good faith estimate of base pay. Northern Trust provides a comprehensive benefits package including retirement benefits (401k and pension), health and welfare benefits (medical, dental, vision, spending accounts and disability), paid time off, parental and caregiver leave, life & accident insurance, and other voluntary and well-being benefits. Northern Trust also provides a discretionary bonus program that may include an equity component.

Working with Us:

As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.

Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.

We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater

Reasonable accommodation

Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at

We hope you're excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.

Apply today and talk to us about your flexible working requirements and together we can achieve greater.

**Our Commercial Banking, Corporate Compliance team is looking for a Compliance Officer. We focus on regulatory compliance for Commercial Banking, including Commercial Lending & Leasing and Treasury Payment Solutions, including Commercial Deposits, Investments and Credit Cards for the US and Canada jurisdictions. You will also be able to partner with the line of business on the design, implementation and monitoring and testing of their controls, conduct risk assessments, and manage oversight of regulatory compliance issues. We partner with the business to prepare them for regulatory exams and provide advisory support in managing regulatory compliance risk.**
**Provides advice and guidance to assigned business/group on implementation of solutions to manage regulatory risk based on an understanding of business operations and stakeholder needs.**
**Builds effective professional relationships with business line, other internal/external stakeholders and regulators on the initial stages of investigations.**
**Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.**
**Performs and/or effectively challenges monitoring and testing activities to ensure compliance regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.**
**Identifies, assesses, effectively challenges and oversees the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation.**
**Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.**
**Analyses and reports compliance information to Compliance and business/group management.**
**Develops and maintains a high level of expertise in all regulations, directives and guidance which apply to the group(s) supported.**
**Provides input to business/group on emerging risks, regulatory developments and interpretation of regulations.**
**Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.**
**Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.**
**Identifies, assesses, effectively challenges and provides oversight on the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation. Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.**
**Analyzes and reports compliance information to Compliance and business/group management.**
**Advises first line of defense management and employees on compliance matters.**
**Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.**
**Ascertains training needs and helps develop training based on gaps identified through the compliance monitoring and testing.**
**Identifies enhancements to business group compliance tools and processes and communicates to required stakeholders.**
**Assists business group management in communicating and implementing changes to applicable regulatory policies and procedures.**
**Represents the business/group Compliance team and interacts with examiners/auditors during internal, external and regulatory audits and examinations.**
**Provides regulatory perspective on business group's sales and marketing materials.**
**Anticipates/ identifies and analyses risk and consequences of unaddressed risk factors/ compliance gaps, and recommends appropriate controls.**
**Builds effective professional relationships with business/groups.**
**Operates effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.**
**Accesses, monitors and reports on sensitive Bank, customer, transactional and employee information to ensure compliance with regulatory requirements.**
**Communicates the roles and importance of each of the three lines of defense, and proactively identifies regulatory risk.**
**Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus.**
**Exercises judgment to identify, diagnose, and solve problems within given rules.**
**Works independently on a range of complex tasks, which may include unique situations.**
**Broader work or accountabilities may be assigned as needed.**
**Qualifications:**
**Typically between 3 - 5 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.**
**Recognized compliance certificate (CMA)or equivalent preferred.**
**Proficient knowledge of consumer protection and related marketing and advertising guidelines.**
**Proficient level of knowledge of a compliance field.**
**Strong knowledge of business operations & procedures, and activities involving documented practices.**
**Proficient in communication, critical thinking, relationship management and project management skills.**
**Technical proficiency gained through education and/or business experience.**
**Verbal & written communication skills - In-depth.**
**Collaboration & team skills - In-depth.**
**Analytical and problem solving skills - In-depth.**
**Influence skills - In-depth.**
**Data driven decision making - In-depth.**
**Work model 4 days in office starting September**
**The salary range is for the Chicago market and will vary based off locations**
**Salary:**
$63,300.00 - $117,200.00
**Pay Type:**
Salaried
The above represents BMO Financial Group's pay range and type.
Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.
BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: Us**
At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.
As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.
To find out more visit us at is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.
BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to and let us know the nature of your request and your contact information.
Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.

Your role

Do you know the Investment Advisers Act, the Investment Company Act, the Commodity Exchange Act and/or the Securities Exchange Act? Are you an expert when it comes to performing second-line-of-defense activities? Do you 'think on your feet', balancing commercial objectives with legal, regulatory and ethical considerations? Do you advocate for the importance of operational risks?

We're looking for an outstanding Compliance Officer to support UBS Asset Management's Credit Investments Group (CIG), one of the five lines of business of UBS Asset Management. CIG manages over $50 billion in assets under management globally and invests in non-investment grade credit strategies, including bank loans, high yield bonds, private credit, rated and equity tranches of collateral loan obligations (CLOs). CIG deploys it strategies across various vehicles including CLOs, separately managed accounts, private funds, mutual funds, and other commingled vehicles.

We're looking for an Asset Management compliance and operational risk control (C&ORC) officer to:

• act as a C&ORC subject-matter expert for the CIG business, providing independent advice, challenge and control to the business' compliance risk-taking
• assisting in the administration, maintenance and improvement of the compliance policies, procedures and processes of CIG, and connecting them to those of UBS Asset Management and the wider UBS Americas organization
• assessing the impact of regulatory developments, supporting regulatory change management efforts, and providing regulatory updates to the business
• evaluating trading, information barrier and specialist network requests
• influencing investment team members within CIG on key compliance risks and their mitigation
• advising CIG on, and evaluating, projects, new initiatives, business objectives, policies, procedures, processes, risk events, controls, and/or compliance testing and monitoring
• leading and assisting with the development, maintenance, and delivery of compliance training
• periodic reporting and regulatory filings (including Form ADV)
• performing the annual 206(4)-7 annual compliance review
• contributing to the development, deployment, and enforcement of UBS AM's Code of Ethics

Detailed salary information:
• Weehawken, New York, Chicago: the salary range for this role is $ to
• Raleigh, Nashville: the salary range for this role is $ to
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.

Your team

You'll work in a friendly and integrated team of professionals, which is responsible for managing the compliance and operational risks of UBS's Asset Management business. Our duties include implementing the Compliance and Operational Risk Framework of UBS' Asset Management Division and UBS Americas' Combined US Operations, and ensuring compliance and operational risks are identified, assessed, and managed properly.

Your expertise

• ideally 5 + years of experience in asset management compliance experience at a global financial services institution, asset manager, regulatory agency or major consulting firm covering credit funds or alternative investments.
• experience with bank loans, private credit, high-yield bonds, and CLOs is strongly desired.
• expertise in securities regulation is a must (Investment Advisers Act, the Investment Company Act, the Commodity Exchange Act and/or the Securities Exchange Act), as well as a thorough understanding of the legal and regulatory expectations / requirements related to private funds, SMA's and registered investment companies. Bank-affiliated asset management expertise is a plus.
• knowledge of front to back asset management operating models (operational procedures, investment process, applications used, etc.) is a plus.
• bachelor's degree in a relevant area of study. A graduate degree (e.g., MBA or JD) is a plus.
• structured, rigorous, analytical, holistic and thorough in your approach, of sound judgment and common sense, with the ability to form defensible conclusions from risk assessments and the ability to "stand your ground", where necessary.
• excellent interpersonal skills, and crucially, a collegial, friendly team player.
• ability to articulate views, assessments and approaches both verbally and in writing precisely, concisely and persuasively.
• ability to present to and respond effectively to senior internal and external stakeholders, including regulators.
• capacity to calmly manage conflicting priorities and pressure in a demanding, high-paced and high-volume environment.
• dedication to fostering an inclusive culture and value diverse perspectives.

About us

UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

We have a presence in all major financial centers in more than 50 countries.

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We're dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That's why collaboration is at the heart of everything we do. Because together, we're more than ourselves.

We're committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Application Deadline:

10/02/2025

Address:
320 S Canal Street

Job Family Group:
Audit, Risk & Compliance

Our Commercial Banking, Corporate Compliance team is looking for a Compliance Officer. We focus on regulatory compliance for Commercial Banking, including Commercial Lending & Leasing and Treasury Payment Solutions, including Commercial Deposits, Investments and Credit Cards for the US and Canada jurisdictions. You will also be able to partner with the line of business on the design, implementation and monitoring and testing of their controls, conduct risk assessments, and manage oversight of regulatory compliance issues. We partner with the business to prepare them for regulatory exams and provide advisory support in managing regulatory compliance risk.

• Provides advice and guidance to assigned business/group on implementation of solutions to manage regulatory risk based on an understanding of business operations and stakeholder needs.
• Builds effective professional relationships with business line, other internal/external stakeholders and regulators on the initial stages of investigations.
• Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.
• Performs and/or effectively challenges monitoring and testing activities to ensure compliance regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.
• Identifies, assesses, effectively challenges and oversees the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation.
• Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.
• Analyses and reports compliance information to Compliance and business/group management.
• Develops and maintains a high level of expertise in all regulations, directives and guidance which apply to the group(s) supported.
• Provides input to business/group on emerging risks, regulatory developments and interpretation of regulations.
• Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.
• Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.
• Identifies, assesses, effectively challenges and provides oversight on the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation. Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.
• Analyzes and reports compliance information to Compliance and business/group management.
• Advises first line of defense management and employees on compliance matters.
• Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.
• Ascertains training needs and helps develop training based on gaps identified through the compliance monitoring and testing.
• Identifies enhancements to business group compliance tools and processes and communicates to required stakeholders.
• Assists business group management in communicating and implementing changes to applicable regulatory policies and procedures.
• Represents the business/group Compliance team and interacts with examiners/auditors during internal, external and regulatory audits and examinations.
• Provides regulatory perspective on business group's sales and marketing materials.
• Anticipates/ identifies and analyses risk and consequences of unaddressed risk factors/ compliance gaps, and recommends appropriate controls.
• Builds effective professional relationships with business/groups.
• Operates effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.
• Accesses, monitors and reports on sensitive Bank, customer, transactional and employee information to ensure compliance with regulatory requirements.
• Communicates the roles and importance of each of the three lines of defense, and proactively identifies regulatory risk.
• Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus.
• Exercises judgment to identify, diagnose, and solve problems within given rules.
• Works independently on a range of complex tasks, which may include unique situations.
• Broader work or accountabilities may be assigned as needed.
  Qualifications:
• Typically between 3 - 5 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
• Recognized compliance certificate (CMA)or equivalent preferred.
• Proficient knowledge of consumer protection and related marketing and advertising guidelines.
• Proficient level of knowledge of a compliance field.
• Strong knowledge of business operations & procedures, and activities involving documented practices.
• Proficient in communication, critical thinking, relationship management and project management skills.
• Technical proficiency gained through education and/or business experience.
• Verbal & written communication skills - In-depth.
• Collaboration & team skills - In-depth.
• Analytical and problem solving skills - In-depth.
• Influence skills - In-depth.
• Data driven decision making - In-depth.

Work model 4 days in office starting September
The salary range is for the Chicago market and will vary based off locations

Salary :

$63,300.00 - $117,200.00

Pay Type:
Salaried

The above represents BMO Financial Group's pay range and type.

Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.

BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit:

About Us

At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.

As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.

To find out more visit us at

BMO is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.

BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to and let us know the nature of your request and your contact information.

Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.

Who we are looking for:

First Eagle is seeking a Compliance Officer to focus on our marketing compliance program and be part of the Legal and Compliance team.

What you will do:

• Prioritize and review advertising/marketing materials including RFPs/RFIs/DDQs within timeframes to ensure compliance with FINRA/SEC rules and regulations across multiple product and business lines such as mutual funds, Institutional strategies, interval funds, BDCs.
• Review advertising/marketing for non-U.S. jurisdictions including but not limited to EMEA and Asia.
• Provide timely, creative, clear, and thoughtful guidance to other departments and team members on advertising/marketing compliance matters for existing products and new product launches.
• File advertising/marketing materials with FINRA.
• Create and deliver compliance training when required.
• Assist the compliance team in monitoring and testing related to 206(4)-7 and 38a-1.
• Perform e-communication surveillance.
• Monitor the approved social media program.
• Collaborate, develop and nurture professional relationships with team members and high-profile internal clients.
• Assist on special projects and ad hoc assignments.

The qualities you should have :

• Undergraduate Degree, preferably in finance, business, or liberal arts.
• 5+ years of compliance experience with an asset management firm or regulatory experience.
• Series 7 and 24 preferred.
• Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA regulation and/or FCA regulation.
• Strong sense of personal accountability and a work ethic to do what it takes to get the job done.
• Excellent judgment and ability to handle business matters in a fair and consistent manner.
• Strong relationship management skills, and the ability to communicate effectively.

Base Salary range: $160,000 to $190,000. Compensation may vary based upon, but not limited to - the individual's skills, experience, qualifications, and internal equity.

We value our people and offer a broad range of benefits. We provide generous paid time-off, medical/dental/vision healthcare plans, 401(k) retirement and profit-sharing plans, a flexible/hybrid work environment, "dress for the day" flexible work attire, and many more great benefits. For more information, please refer to our First Eagle Benefits website.

First Eagle Investments and their affiliates and subsidiaries, including First Eagle Alternative Credit and Napier Park Global Capital, is an Equal Opportunity Employer. Equal Employment Opportunity has been, and will continue to be, a fundamental principle at First Eagle, where employment is based upon personal capabilities and qualifications without regard to race, color, religious belief, including dress and grooming practices, sex, sexual orientation, gender identity, gender expression, age, national origin, marital status, citizenship, disability, veteran status, pregnancy, breastfeeding or medical conditions related to breastfeeding, status as a victim of domestic violence, sexual assault, or stalking, or any other basis protected by applicable federal, state or local law, genetic information or characteristics (or those of a family member), or any other protected characteristic as established by law.

Solutions for Today's Challenges. Vision for Tomorrow's Opportunities.
Join William Blair, the Premier Global Partnership.

William Blair has delivered trusted advice for nine decades, and we continue to deepen our expertise and relationships across regions, asset classes, and markets throughout North America, Europe, Asia, and Australia.

We are committed to our people and culture, values, clients, and local communities.

What sets us apart is that we are an independent partnership, with employees who have unique experiences, perspectives, and backgrounds. We provide advisory services, strategies, and solutions to meet clients' evolving needs amid dynamic market conditions and varying industries.

We strive to attract the most qualified, passionate candidates who specialize in investment banking, investment management, private wealth management, and a variety of other business functions.

We work tirelessly to create an inclusive culture and take pride in fostering employees' professional and personal growth. We empower our people to bring their best thinking each day so we can deliver the tailored, thoughtful work and problem-solving abilities that our clients expect.

Equally, we are proud of our long-term partnerships with the communities in which we live and work, a legacy we inherited from our founder.

We invite you to learn about how we are seeking excellence in everything we do and empowering our clients' success with passion, creativity, and rigor. For more information, visit williamblair.com.

William Blair and Company, L.L.C. (William Blair) is seeking to add a Senior Compliance Officer to its dynamic Legal & Compliance team supporting Equity Capital Markets and Equities (Sales and Trading, and Research).

As a Senior Compliance Officer - Equities, you will be a strategic partner to key stakeholders within our Equity Capital Markets and Equities teams (Sales & Trading, Research), providing expert compliance guidance and ensuring seamless adherence to all regulatory requirements. You will play an integral role in shaping compliance programs, overseeing trade-related activities, and monitoring market behavior to ensure full alignment with internal policies and external regulations.

In this hands-on role, you will proactively address compliance matters, ensuring the smooth running of day-to-day operations while mitigating any potential risks. You'll also be called upon to provide timely support for urgent matters outside of regular market hours when necessary. We are looking for a highly motivated professional who thrives in a dynamic, fast-paced environment and is eager to collaborate with internal teams to maintain the highest standards of compliance. Your expertise in equity capital markets, trading, and research compliance will be key in helping the business navigate the complexities of today's regulatory landscape.

Key Responsibilities:

Compliance Advisory Services:

• Provide day-to-day compliance advisory support to internal stakeholders, including traders and sales traders, to ensure compliance with relevant laws and regulations (e.g., Information Barriers, Conflicts of Interest, Handling of Material Non-public Information, and Personal Trading).
• Provide expert guidance on regulatory rules and standards such as Reg NMS, Reg SHO, OATS, Rule 5320, trade reporting, and Rule 605/606.

Monitoring and Testing:

• Perform ongoing monitoring, testing, and assessment of order handling, execution, trade reporting, and market surveillance to ensure compliance with relevant requirements.
• Conduct regular monitoring and testing of communications and capital markets activities to ensure compliance with applicable regulations.

Research Reports Review:

• Review research reports before publication to ensure all statements are substantiated and that the content is free from any material that could be construed as insider trading.
• Ensure that all research reports include appropriate disclosures concerning potential conflicts of interest or any other relevant legal information.

Marketing Material Compliance:

• Review and approve marketing materials related to Equities lines of business to ensure compliance with applicable regulatory requirements.

Policy and Procedure Coordination:

• Coordinate the development, review, and updating of compliance policies, procedures, and processes to ensure alignment with current business practices and evolving regulatory changes.

Regulatory Interaction:

• Act as the primary point of contact between the firm and regulatory bodies, including reporting suspicious activities and responding to regulatory inquiries related to the Equities business.
• Collaborate with other Legal and Compliance team members to manage regulatory exams, investigations, and inquiries.

Global Regulatory Awareness:

• Stay informed about both local and global regulatory developments affecting the Equities business and ensure that the firm's policies and programs adhere to applicable securities laws and regulations.

Training and Development:

• Conduct regular compliance training for employees to reinforce the understanding of regulatory requirements and the importance of compliance within the Equities business.

Qualifications:

• Bachelor's degree in Business, Finance, Law, or a related field (advanced degree or relevant certification is a plus).
• Minimum of 15 years of experience in compliance, legal, or regulatory roles within the financial services industry, with a focus on equity capital markets, sales and trading, and research.
• Strong understanding of securities laws, regulations, and industry best practices, including Reg NMS, Reg SHO, OATS, Rule 5320, and Rule 605/606.
• Must hold SIE, the Series 7 and 24 and 63 licenses, or obtain in 180 days.
• High level of experience with market surveillance and trade reporting requirements.
• Ability to analyze complex regulatory requirements and apply them to business operations.
• Excellent communication and interpersonal skills, with the ability to work effectively with a range of internal stakeholders and external regulatory bodies.
• Proven ability to manage multiple projects and competing priorities in a fast-paced environment.
• Detail-oriented, with strong problem-solving and analytical skills.

Desired Attributes:

• Self-motivated and proactive in identifying compliance risks and implementing solutions.
• Ability to work effectively both independently and as part of a collaborative team.
• Strong understanding of the regulatory environment affecting the financial markets and ability to anticipate changes in regulations.

Working Conditions:

• This position may require regular travel to various branch offices, meetings with regulatory bodies, industry conferences, or training purposes.
• Flexible working hours may be required to address time-sensitive regulatory matters.
• Expected to come into the office 3 days per week.

A reasonable estimate of the current base salary range at time of posting is below. Base salary does not include other forms of compensation or benefits. Actual base salary within the specified range is based on several factors, including but not limited to applicant's skills, prior relevant experience, specific degrees and certifications, job responsibilities, market considerations and, if applicable, the location of the position.

This role is eligible for either a discretionary annual bonus (based on company, business unit and individual performance) and/or commission-based incentives.

Our featured benefit offerings include medical, dental and vision coverage, employer paid short & long-term disability and life insurance, 401(k), profit sharing, paid time off, Maven family & fertility benefit, parental leave (including adoption, surrogacy, and foster placement), as well as other voluntary benefits.

Salary Range

$190,000-$260,000 USD

William Blair is an equal opportunity employer. It complies with all laws and regulations that prohibit discrimination in employment practice because of race, color, religion, creed, ancestry, marital status, gender, age, national origin, sexual orientation, unfavorable discharge from the military service or on the basis of a physical or mental disability that is unrelated to the employee's ability to perform the duties of the job applied for. EOE m/f/d/v

Be aware of hiring scams : William Blair has clear processes and guidelines with regards to recruiting. We do not request personal financial information in connection with an employment application nor does William Blair extend any employment offers without first conducting an interview through one of its registered offices. William Blair does not use instant messaging services such as WhatsApp, Telegram, or iMessage as part of the recruiting or interviewing process.

Note to External Recruiters / Search Firms : William Blair does not accept unsolicited resumes and will not pay for any placement resulting from the receipt of an unsolicited resume. Any unsolicited resumes received will not be considered as a valid submission.

Download William Blair's privacy policies for job applicants:

• California Consumer Privacy Act Privacy Notice (CCPA)
• General Data Protection Regulation Privacy Notice (GDPR)

Contact us should you have any questions or concerns.

Join to apply for the Compliance Officer - Fintech Services role at Midland States Bank

3 weeks ago Be among the first 25 applicants

Join to apply for the Compliance Officer - Fintech Services role at Midland States Bank

Salary Range: $100,000-$40,000

At Midland States Bank, base salary is one component of our Total Rewards program. Exact compensation is determined by factors such as (but not limited to) education, skills, internal equity, and experience. This position offers additional compensation in the form of short-term incentives (i.e. bonus and/or commission) and may include long-term incentives (i.e. stock awards). Benefits for this role include comprehensive healthcare, well-being benefits, paid family leave as well as generous paid time off. Total Rewards also include banking perks, an Employee Stock Purchase Plan, 401K plan with company match and may include the opportunity to participate in our Non-Qualified Deferred Compensation plan. Incentives and benefits are subject to eligibility requirements.

Position Summary

This role will be responsible for leading and overseeing the compliance efforts of third-party programs, including Banking-as-a-Service (BaaS, or Fintech relationships), throughout the life cycle of the programs. The Compliance Officer-BaaS will report to the Fintech Services Manager and will serve as adviser to the Director of Banking as a Service, Chief Compliance Officer and executive management on appropriate measures to be taken to ensure ongoing regulatory compliance as the Company responds to changing market conditions. This is a leadership role that will also provide compliance expertise and guidance on bank-wide projects and initiatives, ensuring adherence to laws, regulations, and ethical standards.

Primary Accountabilities

People

• Manages a team of professionals in a customer-centric culture to excel in a fast-paced environment.
• Coaches, develops, and conducts performance management activities with direct and indirect reports.
• Identifies high-potential employees for advanced training and development opportunities.
• Effectively manages poor performers.
  
  

Third-Party Compliance Monitoring and Advisory

• Evaluates and monitors third-party vendor performance to ensure compliance with regulatory requirements, contractual obligations, bank, and industry standards.
• Evaluates contracts with vendors, emphasizing compliance aspects and risk management.
• Leads Fintech Partnership Oversight.
• Provides compliance expertise and guidance on bank wide projects to include Fintech oversight and BaaS as well as new product and system offerings.
• Identifies and analyzes risks associated with new and existing Fintech Leads, third-parties, third-party products, product channels and significant changes in existing products are properly evaluated and adequately communicated.
• Ensures that Project Teams, Fintech Leads, and BaaS partners develop and apply policies and procedures with a view to meeting our standards of integrity, as well as federal, state and local legislation and regulations.
• Maintains policy and standards for consumer & commercial compliance across all Fintech partnerships.
• Advisory on Third-Party Compliance, advising on potential risks.
• Serves as the subject matter expert on compliance issues related to third-party relationships.
• Advises senior management on potential risks and mitigation strategies in the realm of third-party relationships.
• Collaborates with other departments to direct compliance issues to appropriate existing channels for investigation and resolution.
• Collaborates with other departments to develop and implement policies and procedures that ensure compliance with federal and state laws and regulations.
  
  

Reporting, Analysis and Documentation

• Assists with CRA and Fair Lending data collection and analysis to ensure that third-party CRA and fair lending efforts are aligned with bank-wide goals and expectations.
• Gathers trends and analyzes complaint data and event escalations from third parties, ensuring appropriate corrective actions are taken.
• Prepares internal risk assessments of individual third-party relationships as well as the BaaS program overall.
• Prepares and presents comprehensive reports to keep senior management informed of the operations, progress, and effectiveness of third-parties compliance programs.
• Ensures meticulous documentation of all third-party transactions and compliance measures for audit purposes.
• Builds and maintains strong relationships with key stakeholders and team members within the bank and with third-party bank partners.
  
  

Other

• The role requires occasional travel for training and team meetings, and willingness to travel periodically, to locations within market as needed.
• May require work in a Midland office to ensure collaboration and support of internal and external customers.
• Maintain compliance with all applicable regulations including, but not limited to, the Bank Secrecy Act (BSA).
• Other duties as assigned.
  
  

Position Qualifications

Education/Experience:

• Bachelors degree in finance, Risk Management, Business Administration or a related field preferred.
• 8+ years of demonstrated experience in banking compliance.
• Minimum of 3 years of experience leading teams with demonstrated success coaching and motivating team members.
• Proven ability to collaborate effectively and execute tasks within the designated areas of responsibility.
• Comprehensive understanding of federal and state banking regulations.
• Compliance professional certifications required. CRCM (Certified Regulatory Compliance Manager) or equivalent.
• Banking as a Service and Fintech experience is preferred but not required.
• Requires up to 10% travel to various locations and company branches and third-party locations across the country. Required to meet multiple priorities and project due dates.
• Excellent oral, written, and interpersonal communication skills with the ability to instruct others, interpret documents, and write reports and correspondence.
• Excellent organizational and time management skills.
• Ability to deal with complex problems involving multiple facets and variables in non-standardized situations.
  
  

Competencies

• Business insight
• Cultivates innovation
• Drives results
• Makes sound decisions
• Being a brand champion
• Collaborates
• Communicates effectively
• Customer focus
• Being Authentic
• Emotional Intelligence
• Self development
• Being flexible and adaptable
  
  

At Midland States Bank, we believe that when we can bring our whole selves to work each day, we become happier, more comfortable, more confident and more excited to do great things for our customers, each other and our company. Were proud to be an Equal Opportunity and Affirmative Action employer. At Midland, we recruit, employ, train, compensate and promote without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. If you are looking for a place to grow, we encourage you to apply at Midland States Bank, because you belong here.

If you require reasonable accommodation in completing this application, interviewing, completing any pre-employment testing, or otherwise participating in the employee selection process, please direct your inquiries to Midland States Bank Human Resources at HR@ .

THIS JOB DESCRIPTION DOES NOT CONSTITUTE A CONTRACT FOR EMPLOYMENT Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Legal
• Industries Banking, Insurance, and Financial Services

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Description
The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play a critical role in the execution and implementation of the Compliance Program for Huntington's Investment Banking Broker Dealers and Huntington's Wealth Management Division inclusive of affiliates engaged in Insurance and Securities business. The successful candidate will have knowledge of investment banking and capital markets compliance requirements including relevant FINRA, SEC, OCC and MSRB rules and regulations with emphasis on Regulation 9, the 1940 Investment Advisors Act and the 1934 Securities Exchange Act. The Director oversees a team of experienced Compliance Professionals and partners with senior leaders to ensure there is effective governance and controls that operate within the enterprise Compliance Framework.
Duties include but are not limited to:
+ Oversee the Huntington Financial Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker-dealer compliance program functions including implementation of written supervisory procedures, training, testing, information barriers, surveillance and AML compliance with a focus on Investment Banking, Public Finance, M&A as well as Sales and Trading activities.
+ Oversight and Governance of OCC Rules specific to the Wealth Management Compliance Program with a focus on Regulation 9 and RNDIP Programs.
+ Support the oversight and integration of affiliate Insurance activities into the overarching Compliance Program structure.
+ Proactively build relationships with regulators and act as the liaison for all broker-dealer regulatory inquiries and examinations.
+ Advise and collaborate with the Business, Legal and Risk partners across the Commercial and Consumer segments to achieve Compliance Program standards within the Enterprise Framework and stated Risk Appetite.
+ Facilitate regulatory change management for covered business lines within the Enterprise Risk Management Structure.
+ Facilitate the review and Drafting of Policies and Procedures to align with regulatory requirements and scope of business activities.
+ Review of marketing materials and client communications in alignment with regulatory expectations and policy requirements.
+ Establish effective relationships with the business and partners throughout Huntington, including Risk, Internal Audit, and Legal.
Basic Qualifications:
+ Bachelor's degree
+ Experience as broker dealer Chief Compliance Officer or lead compliance director for investment banking/M&A at like size or larger organization.
+ 10+ years of progressively responsible compliance/securities industry experience required.
+ Series 7 and 24 with the ability to obtain within 6 months of hire.
Preferred Qualifications:
+ Experience or exposure to Swap Dealer Compliance programs.
+ Ability to work in a fast-paced environment with professionalism, courtesy and tact.
+ Excellent interpersonal, oral and written communication skills.
+ Excellent critical thinking and problem-solving skills
#LI-MM1
#LI-Onsite
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Applications Accepted Through:
11/03/2025
Huntington expects to accept applications through at least the date above, and may continue to accept applications until the position is filled.
Workplace Type:
Office
Our Approach to Office Workplace Type
Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team.
Compensation Range:
$260,000 - $300,000
The compensation range represents the low and high end of the base compensation range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to location, experience, and performance.  Colleagues in this position are also eligible to participate in an applicable incentive compensation plan.  In addition, Huntington provides a variety of benefits to colleagues, including health insurance coverage, wellness program, life and disability insurance, retirement savings plan, paid leave programs, paid holidays and paid time off (PTO).
Huntington is an Equal Opportunity Employer.
Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details.
Note to Agency Recruiters: Huntington will not pay a fee for any placement resulting from the receipt of an unsolicited resume. All unsolicited resumes sent to any Huntington colleagues, directly or indirectly, will be considered Huntington property. Recruiting agencies must have a valid, written and fully executed Master Service Agreement and Statement of Work for consideration.