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Compliance Officer
| Company | Magnetar Capital |
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| Location | Evanston, IL, USA |
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| Salary | $90000 – $180000 |
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| Type | Full-Time |
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| Degrees | Bachelor’s |
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| Experience Level | Mid Level |
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Requirements
- Bachelor’s degree required
- Experience within the financial services industry, including at least 2-3 years directly within the compliance function
- Knowledge of the registered investment advisor industry and practices
- Familiar with institutional advisory regulations including experience with the SEC marketing rules
- Experience with trading systems, Bloomberg, MCO, STAR Compliance and other compliance platforms preferred
- Securities industry experience, including operations, accounting or internal audit within the compliance function, is a plus
- Keen eye for identifying compliance risk and ability to escalate appropriately
- Ability to work independently as well as part of a close-knit team and among various levels of management
- High attention to detail, strong organizational skills and the ability to excel in a fast-paced work environment
- Dedicated, pro-active, problem-solving mindset and a can-do attitude.
Responsibilities
- Assist with marketing material reviews, RFP and due diligence requests
- Assist in the preparation of regulatory filings, including responses to regulatory inquiries
- Assist with administration the firm’s Code of Ethics, including the personal trading policy, gifts and entertainment, outside business activities, and pay-to-play
- Assist in the supervision of employee compliance with the firm’s policies & procedures and Code of Ethics
- Responsible for verifying the firm’s compliance with policies & procedures through testing and surveillance
- Assist with new hire compliance onboarding
- Assist in the development of compliance training programs, including the on-going development of training materials and conducting training sessions for all new and existing employees
- Assist with monitor trade execution, best execution, allocation, trade errors, cross trades, and general compliance oversight of the trade execution function
- Conduct conflict checks, update and maintain the firm’s restricted list
- Assist with the annual risk assessment and 206(4)-7 annual review
- Work with the team to prepare for regulatory compliance reviews, exams and certifications
- Coordinate and oversee ongoing policy review and development
- Extensive oversight of all functions and interaction with all levels of the organization.
Preferred Qualifications
- Experience with trading systems, Bloomberg, MCO, STAR Compliance and other compliance platforms preferred
- Securities industry experience, including operations, accounting or internal audit within the compliance function, is a plus.
