Summary
The Chief Compliance Officer will be a member of SBB Research Group’s growing legal and compliance team; support the firm’s core hedge-fund business (including corporate and investment fund matters); support the firm’s compliance function; and provide general legal support.
Responsibilities
- Assist with the annual filings, forensic testing, conflicts of interest, risk assessment review.
- Support business teams and work with outside counsel regarding transactions, portfolio company oversight, compliance and regulatory matters, and ongoing fund management.
- Review marketing materials, investor presentations, and DDQs.
- Monitor legal and regulatory developments and adapt firm policies and operations as needed.
- Provide legal advice to executives with respect to a variety of general corporate matters including corporate policies and procedures.
- Interacting with regulators and 3rd parties (compliance consultants and outside counsel) on compliance issues.
- Coordinating efforts related to audits, reviews, and examinations applicable to regulatory agencies.
- Overseeing and monitoring the implementation of the compliance program.
- Coordinating internal compliance review and monitoring activities, including periodic reviews of departments.
- Independently investigating and acting on matters related to compliance.
- Managing software related to compliance and legal activities.
- Special projects as requested.
Qualifications
- Bachelor’s degree in business or related field.
- 10+ years of experience either at a law firm and/or an investment management firm.
- Solid understanding of the asset management industry, securities markets, and private equity funds.
- Experience with fund operations is required.
- Ability to clearly and concisely present complex issues to senior management, both in writing and in oral presentations.
- Professional maturity to interact with senior leadership, portfolio company executives, and investors.
- In-depth knowledge of all federal securities laws, with demonstrated strength in the Investment Advisers Act of 1940, and applicable industry standards and regulations.
About SBB Research Group
SBB Research Group is a Chicago-based investment management firm that views the market through a systematic, interdisciplinary lens. SBBRG specializes in bespoke investments designed to protect and grow investor capital. To date, the company has designed and executed over $2 billion in bespoke investments.
SBBRG Benefits & Compensation Summary
At SBBRG, we’re committed to cultivating an environment where employees are empowered to amplify their potential and create long-term value for the Firm and its investments. One of the ways we invest in our people and culture is through a comprehensive and competitive benefit offering, including:
Health & Wellness
- Subsidized Medical, Dental, and Vision coverage
- Ancillary benefits including Life Insurance, Short- and Long-Term Disability, and Flexible Spending Accounts (FSA) to manage your healthcare expenses
- Gym membership reimbursement to support physical wellness
- Daily onsite lunch stipend program
- “Last mile” transportation coverage for commuters using public transit
- Paid Parental Leave is available after one (1) year of service for both birthing and non-birthing parents, ensuring that you have the time you need with your new family member
Financial Security & Recognition
- 401(k) retirement savings plan to secure your future
- Discretionary annual bonuses based on individual contribution, tenure, and firm’s performance
- Long-Term Bonus Program designed to reward and retain talent over time
Work-life Balance
- Paid time off (PTO)
- Paid Sick leave
- Paid holidays
- Hybrid/Flexible work policy that supports your work-life balance
Learning & Development
- Tuition and education reimbursement for continued growth in areas related to your role
Culture & Community
- Regular onsite and offsite cultural events to encourage team building and networking
- Charitable giving programs and paid opportunities to volunteer on behalf of the firm
Compensation Range $100,000– $300,000 annually, commensurate with experience, qualifications, and internal equity. Final compensation will reflect alignment with the Firm’s compensation structure and budget for the role.
Equal Opportunity Employer SBBRG is proud to be an Equal Opportunity Employer. We make employment decisions based on merit and business needs, without regard to race, color, ancestry, national origin, gender, sexual orientation, gender identity or expression, age, religion, disability, medical condition, veteran status, marital status, or any other status protected by law. This policy applies to all employment practices including recruitment, hiring, compensation, benefits, promotions, and terminations. We are committed to a workplace where every employee feels respected, included, and valued.