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DiMeo Schneider & Associates

Compliance Officer

May 31, 2019 | Chicago, IL

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DiMeo Schneider & Associates, L.L.C., a nationwide investment consulting firm, seeks an experienced, resourceful and solutions-oriented Compliance Officer to develop and execute current compliance testing in addition to proactively participating in the continued enhancement of the firm’s overall compliance program, including compliance policies and procedures. This role contributes value though the delivery of timely and accurate compliance testing results. The Compliance Officer also plays a vital role in collaborating with the Chief Compliance Officer on initiatives that drive new efficiencies to deliver top-notch client service and reduction of risk.

Job Functions

• Assist with the development and rollout of new compliance initiatives
• Aid in annual review process, updating compliance policies and procedures manual, desktop procedures and best practices
• Compliance review of marketing materials
• Administration of key compliance functions and policies: gifts, outside business activities, violations tracking, vendor due diligence, books and records, cybersecurity, privacy policies, custody
• Conduct testing for adherence to policies and procedures by firm associates
• Assist in maintenance of regulatory documents: Form ADV, Form 13F, firm state notice filings, IAR registrations, Form U4 updates
• Backup trader – primarily mutual funds and ETFs

Qualifications

• Bachelor’s degree with a preferred concentration in Finance, Economics, Law or Accounting – required
• A minimum of 3 plus years’ experience in a compliance role – highly preferred
• Proficient in Microsoft Office Outlook, Word and Excel – required
• Compliance or investment certification or certification in progress – a plus
• Specific experience conducting compliance testing – a plus
• High level knowledge of financial services industry – a plus
• Experience with Schwab Compliance Technologies – a plus
• Self-starter/motivated and able to work autonomously
• Flexible when priorities shift
• Must be resourceful, reliable and dependable
• Sound judgement and problem solving skills
• Curious, innovative and displays initiative
• Detail oriented with a high level of accuracy and organization
• Excellent oral and written communication skills are essential
• Thoughtfully driven, accountable and able to check your ego

Travel Requirements

Very limited travel for trainings and or business events, if any

Work Environment

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

Physical Demands

The physical demands 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

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Why Choose DiMeo Schneider & Associates, L.L.C.?

Headquartered in Chicago’s financial district with additional offices in Austin, Texas and Washington, DC, the firm strives to provide impartial, cost effective investment consulting to plan sponsors, non-profit organizations and private clients. Seasoned professionals make use of leading edge technology to deliver a variety of services including: investment policies, performance evaluation, asset allocation analysis, administrative/trustee search, asset liability analysis, spending policies, manager/fund search, cost/benefit analysis. The firm prides itself on the level of service it provides to each client and a proactive approach. DiMeo Schneider & Associates, L.L.C. is an equal opportunity employer committed to fostering a diverse workforce; women and minority candidates are especially encouraged to apply.