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LaSalle Investment Management · 1 day ago

Deputy Chief Compliance Officer

Chicago, IL

Full-time

Onsite

Director/Executive

$210K/yr - $220K/yr

8+ years exp

LaSalle Investment Management is a leading global provider of real estate and investment management services, seeking a highly skilled Deputy Chief Compliance Officer. The role involves overseeing compliance programs, providing regulatory guidance, and supporting the strategic compliance initiatives of the firm.

Real EstateVenture CapitalWealth Management

No H1B

Responsibilities

Implement and support the Compliance Department’s strategic program in alignment with LaSalle’s overall business strategy with limited oversight

Respond to business inquiries in a collaborative and timely way by providing expert guidance sharing the regulatory requirements along with identified risks to investors and the firm

Review marketing and capital raising materials in collaboration with the Global Funds Team (GFT) and Legal & Compliance leads, ensuring adherence to all marketing regulatory requirements

Administer compliance technology platform, including Code of Ethics and employee personal trade reporting ensuring that brokerage account electronic feeds are correctly maintained, as well as overseeing that items identified in the compliance calendar are addressed and resolved in compliance platform in a timely manner

Coordinate with the CCO on the annual compliance reviews, along with the development and implementation of compliance policies and procedures, and risk frameworks

Research and interpret complex regulatory topics, autonomously formulate solutions and actionable plans to enhance compliance program

Advanced knowledge in regulatory compliance, AML frameworks, and compliance program management

Provide guidance and training/mentoring to assist in the development of the compliance team that supports growth and operational excellence

Keep abreast of changing regulatory environment for proposed rules, guidance and industry trends which may affect the firm and implement identified updates to its compliance program

Assist the CCO in the evolution of the compliance program by implementing and enhancing compliance technology systems to enhance controls, monitor for risk and support program automation

Assist in the design and delivery of compliance training across multiple businesses

Contribute to ad-hoc projects, including support of Americas CCO for regulatory examinations and projects originated by the Americas General Counsel

Qualification

Regulatory complianceAML frameworksCompliance program managementFINRA Series 7Federal securities lawsCompliance technologyAnalytical skillsProject managementCommunication skillsProblem solvingTeam collaboration

Required

Bachelor's degree

8+ years of experience working in a regulatory and/or compliance-driven environment

Broad knowledge of federal securities laws

FINRA Series 7 and 24 and Canadian licenses are necessary requirements for the role. Applicants hired without the license will be required to obtain the FINRA licenses within six months of hire and the Canadian license within 12 months

Delivers on commitments, acts with integrity, and takes ownership of outcomes

Excellent written and oral communication skills

Effective analytical, project management, problem solving and decision-making skills

Resourceful, adaptable, and accountable, with proven ability to navigate complex regulatory environments and interact with senior management

Discretion and ability to handle sensitive information on a confidential basis are critical

Capable of managing multiple compliance programs, projects and initiatives concurrently

Self-motivated with a strong work ethic that is able to work equally well independently and as part of a team

Ability to collaborate in a team environment across departments and seniority levels while employing professionalism and collegiality is essential

Preferred

Certification in a related field of practice is a plus

Benefits

Health benefits include medical, dental, vision, mental health support and additional ancillary insurance plans.

Generous paid time-off, including paid company holidays. Additional benefits include paid parental leave short-term and long-term disability, as well as other care/wellness programs.

Financial wellness is supported through a 401(k) plan with a company match, flexible spending accounts or a health savings account.