Sr. Compliance Examiner jobs in United States
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Federated Hermes · 6 hours ago

Sr. Compliance Examiner

positionChicago, IL
timeFull-time
remoteHybrid
seniorityMid, Senior Level
money$72K/yr - $130K/yr
date6+ years exp

Federated Hermes is a leading investment manager committed to helping clients achieve better risk-adjusted returns. They are seeking a Sr. Compliance Examiner to assist in implementing their compliance program, focusing on portfolio monitoring, compliance with policies, and regulatory requirements.

Financial Services
badNo H1Bnote

Responsibilities

Assist in the implementation of the Federated Hermes compliance program as it relates to broker-dealer wrap, or “SMA”, advisory business for the Federated Hermes affiliated investment advisers
Focus on portfolio monitoring and testing, as well as overall compliance with Federated Hermes policies and procedures and federal securities regulation
Assist in the implementation of the Federated Hermes Compliance program by monitoring individual portfolios and transactions
Client onboarding, other compliance monitoring, designing, drafting, and implementing policies and procedures as necessary, and training staff on Federated Hermes compliance requirements
Participate in drafting disclosures and monitoring contract templates

Qualification

Investment adviser complianceSecurities regulations knowledgeProfessional certificationFinancial services experienceMicrosoft WordExcelTeamworkCommunication skills

Required

Bachelor's degree or equivalent level of related experience which includes experience with financial services organizations in compliance, fund accounting, legal, audit or similar environment
Minimum 5 years of business experience plus 1 year of investment adviser compliance
Knowledge of municipal securities and securities markets, familiarity Investment Advisers Act of 1940, and other SEC regulations
Thorough understanding of investment advisory process/regulations
Possess or have the ability to take and pass the following securities related examinations 7, 24, 65/66
Proficiency with Windows/PC operating system and Microsoft Word and Excel

Preferred

Degree in accounting, finance, or business preferred
Professional certification (e.g., auditor, paralegal) preferred

Benefits

Medical, dental, prescription, vision, and basic life insurance benefits
401(k) plan
Fifteen vacation days
Seven ill days
Ten holidays

Company

Federated Hermes

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Federated Hermes is an investment management firm that offers equity, fixed-income, and liquidity management solutions.
dateFounded in 1955
location
Pittsburgh, Pennsylvania, USA
people-size1001-5000 employees
web-link
https://www.federatedhermes.com/us/home.do

Funding

Current Stage
Late Stage

Leadership Team

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Brooks Harrington
Partner - Head of US Investment
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Recent News

PR Newswire
Federated Hermes announces promotion of Mark Weiss to head of Prime Liquidity Group
2026-02-02
PR Newswire
Federated Hermes Premier Municipal Income Fund declares dividend
2026-01-13
PR Newswire
Federated Hermes announces two fixed-income promotions, naming next fixed-income chief investment officer and head of Municipal Bond Group
2026-01-09
Company data provided by crunchbase