Talently · 6 days ago
Senior Compliance Officer
Wheaton, IL
Full-time
Onsite
Senior Level
$120K/yr - $150K/yr
5+ years expTalently is a registered broker-dealer seeking an experienced Senior Compliance Officer or Assistant General Counsel to join their team. The role involves overseeing compliance for private fund offerings and alternative investments, ensuring regulatory compliance, and reviewing offering documents for adherence to SEC and FINRA rules.
RecruitingStaffing Agency
Responsibilities
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
Qualification
Required
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
Preferred
Experience with non-traded REITs, DSTs, private offerings and investments, and closed-end funds
Excellent document review and communication skills
Company
Talently
Recruitment made Easy
11-50 employees
Funding
Current Stage
Early StageRecent News
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