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Director of Compliance
Calamos Investments LLC
Naperville, IL, United States
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Calamos Careers
Calamos Investments is a global investment firm that has provided asset management services since 1977. Our clients include major corporations, pension funds, endowments, foundations, family offices and individuals. Throughout our history, we have developed a range of innovative investment strategies across asset classes. We offer our strategies through separately managed portfolios, mutual funds, closed-end funds and UCITS funds. Over recent years, we have focused on expanding our business globally to better serve the needs of a growing base of investors worldwide. Headquartered in the Chicago metropolitan area, we also have offices in London, New York, San Francisco and Miami.
Summary:
The Director of Compliance assists the Chief Compliance Officer with the day-to-day management of the Compliance Department. The role will play a key role in establishing the Department’s priorities and objectives and will maintain a leadership position within the group. This position will proactively review business activities to identify potential regulatory, compliance and reputational risks. This position will also provide regulatory and compliance advice to business and control units on an ongoing basis.
Primary Responsibilities:
• Assists with managing a staff of compliance professionals which includes supervising, assigning work, training, counseling, evaluating, motivating and developing staff.
• Assists COO in the development of firm policies, procedures and guidelines.
• Proactively reviews business activities to identify potential regulatory, compliance and reputational risks.
• Provides regulatory and compliance advice to business and control units on an ongoing basis.
• Provides advice in connection with the ongoing development of comprehensive compliance policies and procedures, the resolution of potential compliance issues and the conduct of regulatory examinations.
• Responsible for key compliance relationships within the Calamos corporate entities including oversight of day-to-day compliance activities such as marketing, GIPS, and portfolio management activities.
• Contributes to the design, establishment, implementation and revision of compliance system and policies and procedures. This includes involvement in the development and maintenance of effective controls and monitoring systems to track compliance efforts.
• Leads the annual regulatory compliance risk assessment process within the Compliance Department.
• Assists in the preparation of responses to regulatory inquiries and examinations.
• Assists in the annual compliance review.
• Oversees regulatory filings for Calamos Advisors, Calamos Wealth Management, the private funds, as needed, and other corporate entities when necessary. Such oversight includes, but is not limited to, the following regulatory filings: 13h, 13f, ADVs, and Form PF.
• Participates in Calamos entity committees on behalf of Compliance.
• Collaborates with other departments (e.g., Risk Management, Operations, Marketing, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
• Performs related duties as assigned.
Minimum Qualifications:
• Bachelor’s degree required.
• Series 7 and 24 licenses required.
• At least 7 – 10 years of compliance experience with an investment adviser or mutual fund firm.
• Must have a thorough working knowledge of securities laws and SRO rules and regulations to which Calamos Advisors and other corporate entities are subject.
• Must be able to manage multiple priorities.
• Some travel required.