DiMeo Schneider & Associates, L.L.C., a Chicago investment management consulting firm, seeks an ethical and ambitious professional for the position of Operations and Compliance Associate. The position assumes responsibility for firm trading, periodic compliance testing and other operations and compliance project work. Ideal candidates possess mutual fund/investment securities experience, strong organizational skills and attention to detail. Candidate should be able to work independently.
Primary Job Functions:
* Mutual fund and ETF trading at custodians, along with trade review and completion of trade log
* Lead in resolution of trade errors
* Conduct and oversee wire processing for clients
* Periodic compliance testing, including email review, statement review, social media review and other testing of firm policies and procedures
*Provide input on firm operations and compliance policies and procedures
*Lead and assist in ad hoc projects to improve firm operational efficiency and fulfill compliance requirements
List of key requirements/needs in a candidate:
* BA/BS degree required, preferably in Finance, Economics or Accounting
* Proficient using Microsoft Word, Excel and PowerPoint
* Experience with Advent Axys, Schwab Compliance Technologies, Ascendant Compliance Management, Schwab/Fidelity/TD Ameritrade trading tools are favorable
* Investment industry or compliance designations a plus
* Knowledge of capital markets, including domestic and foreign equity, fixed income and alternative investments
* Hard working professional with a good attitude and a desire to work in a collaborative environment with a team of analysts and consultants
The appropriate individual will find the position to be challenging and rewarding. Our fast-paced environment provides opportunity for career advancement and professional stimulation. Firm culture promotes an environment that fosters teamwork and values associates that are accountable and thoughtfully driven.
Please send your resume via email to firstname.lastname@example.org. Be sure to include Job Reference No. Operations and Compliance Associate – 08.17 on the subject line of the email.
DiMeo Schneider & Associates, L.L.C.
Located in Chicago’s financial district, 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.