Compliance Operations Manager

Energy Jobline ZR; Mundelein (IL); In loco; USD 110.000 - 180.000; Tempo pieno

Descrizione del lavoro

Universa Investments L.P. seeks a Compliance Manager to run the day-to-day operations of its compliance program under the Chief Compliance Officer. You will monitor policies, oversee filings, and manage risk surfaces, elevating complex issues as needed.

This role emphasizes execution and monitoring rather than strategy, requiring independence on routine matters and collaboration with the CCO on higher-risk questions, policy updates, and training coordination.

Competenze

• Bachelor's degree in a related field and regulatory compliance certifications.
• 4–7 years of compliance or related experience in financial services.
• Experience preparing regulatory filings (e.g., Form ADV, Form PF, Form PQR) and maintaining compliance books and records.
• Strong organizational, writing, research, and analytical skills; ability to manage a compliance calendar.

Mansioni

• Monitor day-to-day compliance with policies, procedures, and agreements; flag exceptions.
• Administer annual compliance program review and assist CCO in drafting narratives.
• Maintain regulatory filings and BEA/NFA submissions with appropriate reviews.
• Oversee AML operations, OFAC screening, and due diligence processes.
• Coordinate policy updates and training; manage electronic communications supervision.

Conoscenze

Regulatory compliance

Attention to detail

Analytical skills

Writing skills

Formazione

Bachelor's degree

NSCP certifications

Strumenti

Regulatory filings

NFA Rules

Descrizione del lavoro

Universa Investments L.P. seeks a Compliance Manager to run the day-to-day operations of its compliance program under the Chief Compliance Officer. You will monitor policies, oversee filings, and manage risk surfaces, elevating complex issues as needed.

This role emphasizes execution and monitoring rather than strategy, requiring independence on routine matters and collaboration with the CCO on higher-risk questions, policy updates, and training coordination.