SVP, Compliance Officer

About the Firm

Mesirow is an independent, employee-owned financial services firm founded in 1937. Headquartered in Chicago, with offices around the world, we serve clients through a personal, custom approach to reaching financial goals and acting as a force for social good. With capabilities spanning Private Capital & Currency, Capital Markets & Investment Banking, and Advisory Services, we invest in what matters: our clients, our communities, and our culture. We are proud of our employee-owned culture, built on collaboration and shared success, empowering our professionals to develop meaningful relationships, pursue growth opportunities, and make a lasting impact for our clients and communities. Mesirow has been named one of the Best Places to Work in Chicago by Crain’s Chicago Business multiple times and is one of Barron’s Top 100 RIA firms.

We currently operate in a hybrid working model, requiring in-office work 3 days a week.

Responsibilities

• Manage the Firm’s Code of Ethics Program including policies governing personal trading, gifts and entertainment, outside business activities, political contributions, conflicts of interest, and certifications.
• Assist in the development of compliance training programs, including the ongoing development of training materials and conducting training sessions for all new and existing employees.
• Review marketing materials to ensure compliance with applicable rules and regulations.
• Review and analyze AML program, KYC profiles, and transactions in accordance with established procedures and policy.
• Maintain and support the compliance technology platform, including monitoring systems, employee certifications, disclosures, surveillance tools, and related vendor relationships.
• Develop and maintain strong working relationships with Business, Compliance, Legal, and Risk groups.
• Monitor and stay current on relevant laws, regulations, and industry standards.
• Assist in the preparation of required regulatory filings.
• Lead the integration of AI tools and automation within the Compliance Department to enhance efficiency and scalability.
• Perform other compliance-related responsibilities and special projects as needed.

Requirements

• Bachelor's degree in business, finance, or a related field.
• 5+ years of Financial Services Industry experience (Registered Investment Adviser experience a plus).
• A strong understanding of regulatory requirements and industry standards (e.g., Investment Advisors Act of 1940, Rule 206(4)-7, and federal securities laws).
• Experience with STAR Compliance, Global Relay, Red Oak, Quest, and other compliance platforms preferred.
• ACAMS, Series 7, Series 24, Series 65/66, or other relevant industry certifications preferred.
• Excellent analytical and problem-solving skills.
• Proficiency in data analysis and reporting tools (e.g., Excel, data visualization software).

Pay

In accordance with the Illinois Pay Transparency Law, the anticipated hiring base salary for this role is between $95,000 and $125,000 per year. Base pay is determined on an individualized basis and is part of a total compensation package that includes opportunities for a bonus and the Mesirow benefit program.