Senior Compliance Officer — AI-Driven, Hybrid Role

Mesirow; Chicago (IL); Hybrid; USD 95,000 - 125,000; Full time

Job summary

Mesirow, a Chicago-based independent financial services firm, seeks a Compliance Officer to support all aspects of the Compliance Department. The role involves Code of Ethics oversight, AML/KYC reviews, and training, reporting to the Chief Compliance Officer.

The position operates in a hybrid model, requiring in-office presence 3 days per week. Ideal candidates hold a Bachelor's in business or finance with 5+ years in financial services and relevant certifications (ACAMS, Series 7/24/65/66).

Qualifications

• Bachelor's degree in business, finance, or a related field.
• 5+ years of Financial Services Industry experience (RIA experience a plus).
• Strong understanding of regulatory requirements and industry standards.
• Experience with STAR Compliance, Global Relay, Red Oak, Quest, etc.
• ACAMS, Series 7, Series 24, Series 65/66 or other relevant certifications preferred.
• Excellent analytical and problem-solving skills.
• Proficiency in data analysis and reporting tools (Excel, data visualization software).

Responsibilities

• Manage the Firm’s Code of Ethics Program including policies governing personal trading, gifts and entertainment, outside business activities, political contributions, conflicts of interest, and certifications.
• Assist in the development of compliance training programs and conduct sessions for all employees.
• Review marketing materials to ensure compliance with applicable rules and regulations.
• Review and analyze AML program, KYC profiles, and transactions per policy.
• Maintain and support the compliance technology platform and related vendor relationships.
• Develop and maintain strong working relationships with Business, Compliance, Legal and Risk groups.
• Monitor and stay current on relevant laws, regulations, and industry standards.
• Assist in the preparation of required regulatory filings.
• Lead the integration of AI tools and automation within the Compliance Department.
• Perform other compliance-related responsibilities and special projects as needed.

Skills

Analytical thinking

Problem solving

Data analysis

Education

Bachelor's degree in business or finance

ACAMS

Series 7

Series 24

Series 65/66

Tools

Excel

Data visualization tools

Job description

Mesirow, a Chicago-based independent financial services firm, seeks a Compliance Officer to support all aspects of the Compliance Department. The role involves Code of Ethics oversight, AML/KYC reviews, and training, reporting to the Chief Compliance Officer.

The position operates in a hybrid model, requiring in-office presence 3 days per week. Ideal candidates hold a Bachelor's in business or finance with 5+ years in financial services and relevant certifications (ACAMS, Series 7/24/65/66).