Chief Compliance Officer and General Counsel
Zuckerman Investment Group is a growing independent registered investment advisory firm owned by the Zuckerman family. The firm manages over $1 billion for multi-generational families. We are located in downtown Chicago and we provide individuals and families with a complete offering of financial counseling and investment management services.
We are a results-driven firm with high achieving, motivated employees who value opportunities to take on complex problems, interesting projects, and share innovative ideas. We believe in cultivating relationships both internally and externally, and we are looking for someone to join our team who is committed to developing strong connections in a truly collaborative environment.
Zuckerman Investment Group is looking to hire a Chief Compliance Officer and General Counsel to oversee and enhance the firm’s compliance program.
In this senior leadership role, this individual will be responsible for overseeing the firm’s compliance program to ensure compliance with applicable laws and regulatory requirements as well as adherence to internal policies and procedures.
- Oversight and administration of compliance function and policies
- Develop and execute new compliance initiatives as needed
- Ensure firm compliance with external and internal compliance guidelines
- Prepare and file all required regulatory filings
- Manage regulatory examinations and investigations and perform quarterly internal examinations to maintain best practices
- Continually assess the inherent risk of the business and effectiveness of mitigating controls to minimize regulatory compliance and operational risk
- Lead annual compliance review process including updating compliance policies, procedures, manuals, and best practices
- Train, develop, and review the performance of the compliance team and determine optimal evolution of roles and responsibilities
- Coordinate with technical staff and outside vendors on cybersecurity related initiatives
- Familiarity with investment advisory, broker dealer and product compliance programs
- Highly organized, extremely detail-oriented and desire and ability to solve complex problems
- Excellent interpersonal, verbal, and written communication skills
- Displays initiative and is self-driven
- Knowledge and experience with SEC and FINRA rules and regulations
- Experience in leading regulatory exams
- A minimum of 3 years of experience working in compliance programs
- Previous experience as a CCO or General Counsel preferred