Senior Compliance Officer Job at Talently, Wheaton, IL

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  • Talently
  • Wheaton, IL

Job Description

Job Title : Senior Compliance Officer/ Assistant General Counsel

Location: Wheaton, IL (Onsite)

Compensation: $120K-150K+ Bonus DOE

Skills: Private Fund Offerings, Alternative Investments, Reg BI, REITs, DSTs, tender/interval funds, co-investment vehicles, PPMs, SEC and FINRA rules and regulations

Read on to fully understand what this job requires in terms of skills and experience If you are a good match, make an application.

We are a registered broker-dealer that needs an experienced Senior Compliance Officer or Assistant General Counsel to join our team. If you have 5+ years of compliance oversight of private fund offerings and alternative investments, then this may be a perfect fit for you!

In this role, you will:

  • Oversee alternative investment private offering platform processes for offering private funds (Reg D, 506(c)).
  • Ensure suitability analysis and Reg BI compliance for investors.
  • Provide compliance oversight for non-traded REITs, DSTs, tender/interval funds and co-investment vehicles.
  • Review PPMs, fund offering documents, and marketing materials for compliance with SEC/FINRA rules.

Must Have Skills:

  • FINRA licenses: Series 24 required. Series 7/63/66 strongly preferred.
  • 5–10+ years in broker-dealer or securities compliance with emphasis on private funds.
  • Strong knowledge of Reg D, FINRA Rules 2111/2210/5122-5123, and Reg BI.
  • Bachelor’s degree.

Nice to Have Skills:

  • Experience with non-traded REITs, DSTs, private offerings and investments, and closed-end funds. xywuqvp
  • Excellent document review and communication skills.

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