Chief Compliance Officer Envestnet Asset Management
As one of the largest SEC-registered Registered Investment Advisor and NASD Broker Dealers and prevailing providers of technology-enabled wealth management solutions, Envestnet has grown to serve more than $316B in total platform assets and more than 1.5 million investor accounts as of June 30, 2012. Envestnet is headquartered in Chicago with offices in New York, Boston, Denver, Raleigh, Seattle, Sunnyvale, and internationally. This position would report directly to the CEO and General Counsel in Chicago.
Job Duties include:
Reporting directly to the CEO and General Counsel and managing the Compliance team.
Identifying and analyzing business risks.
Reviewing adequacy of policies, procedures and controls.
Reviewing and recommending internal controls and security procedures for new and enhanced products and services.
Assisting with the review of existing controls and procedures and implementing changes as agreed upon with management.
Enforce policies, procedures and controls.
Responsibility for all regulatory compliance applicable to RIAs and BDs.
Liaising with General Counsel to provide ongoing advice in relation to implications of legislation and regulations affecting the business.
Planning and executing individual projects of the Compliance department including drafting timetable for project, drafting necessary documentation, liaising with relevant parties both internal and external, submission to regulators, obtaining regulatory consents and ensuring timely dispatch of documentation.
Participating in meetings with various departments as appropriate.
Reviewing legal documentation to include offering memoranda, constitutional documentation, administration agreements and other contracts.
Administering client contracts.
Reviewing and documenting trade errors
Reviewing promotional materials
Reviewing personal securities transaction reporting
Updating and maintaining regulatory registrations (e.g., Form ADV Part I and II, Form BD, State Notice Filings, Investment Advisor Representatives and Registered Representatives)
Developing and maintaining working relationships with management and professional service providers
Maintaining company?s insurance coverage
This position must be able to handle confidential information.
Series 7, 24, 63 required.
Minimum 7-10 years of compliance experience.
Bachelor?s Degree required.
SEC work experience preferred.
Managed account platform experience preferred.
Knowledge of the Investment Advisers Act of 1940 and Securities Exchange Act of 1934.
Experience in working with Web IARD; attention to detail and experience in writing procedures manuals.
Strong organizational skills, with proven project management. Analytical and problem solving skills.
Highly developed written and oral communication skills required.
Highly developed conflict resolution and negotiation skills are vital to successful performance in this position.
The successful candidate will be a self-motivated professional who enjoys the challenges presented by a dynamic, progressive company and who brings value to the position by proposing sound business solutions, as well as identifying risks.
This position will interact with internal and external clients at all levels, including senior management, audit firms, regulatory agencies, investment advisors, etc.
EQUAL EMPLOYMENT OPPORTUNITY
Envestnet is committed to providing equal employment opportunities and ensuring that all employment-related decisions are made without regard to race, color, sex, age, national origin, religion, physical or mental disability (unrelated to the ability to perform job duties) veteran status, or any other protected status under applicable law.
||35 East Wacker Drive |
Chicago, IL 60601