AVP, Senior Compliance Associate - Marketing

Illinois-Chicago
215 N Peoria St
Chicago, IL 60607, USA

Illinois-Chicago
215 N Peoria St
Chicago, IL 60607, USA

Calamos is a diversified, global asset and wealth management firm offering a wide range of innovative investment strategies. As one of the top liquid alternative asset managers in the world, Calamos maintains dedicated investment teams across all asset classes, with global research capabilities and access to specialized private and public markets. Calamos offers investment strategies and personal wealth management solutions through separately managed portfolios, mutual funds, ETFs, closed-end funds, private funds, and UCITS funds.

Clients include major corporations, pension funds, endowments, foundations, and individuals, as well as the financial advisors and consultants who serve them. Headquartered in the Chicago metropolitan area (with offices in both Naperville and Fulton Market in Chicago), the firm also maintains offices in New York, San Francisco, Milwaukee, Portland, and the Miami area.

• The Senior Compliance Associate - Marketing is responsible for assisting in the administration of the Compliance Program for each of the regulated Calamos entities. This includes: ensuring compliance with applicable laws and regulations for all advertising, marketing, and social media activities, trade surveillance, controls testing, review of the firm’s policies and procedures as well as providing compliance support to the businesses.

• Review a high volume of marketing materials, including but not limited to social media posts, advertisements, fund presentations, websites, Due Diligence Requests and RFPs. This will from time to time require compliance reviews during non-business hours
• Contributes to the implementation and testing of Compliance policies and procedures.
• Assists with reviewing Calamos and it’s affiliates’ marketing and sales literature to ensure compliance with the Financial Industry Regulatory Authority, Securities Exchange Commission, National Futures Association, and Commodity Futures Trading Commission requirements, as well as Global Investment Performance Standards and firm policies and procedures.
• Email review as assigned.
• Provides compliance guidance and advice to the business and control units on an ongoing basis.
• Assists in educating Calamos associates in regulatory compliance.
• Proactively participate in creating new policies and procedures in support of new business. This also includes identifying conflicts of interest and determining appropriate controls to mitigate risk and conflicts of interest.
• Monitors daily trade surveillance via CRD, Clearwater, and Star Compliance
• Performs other duties, regulatory filings, and special projects, as assigned.

• Minimum 7 years of compliance experience required with FINRA Rules as well as the SEC Investment Adviser Act.
• Series 7 and 24 licenses required or will obtain in a reasonable timeframe.
• Strong communication skills – oral and written.
• Detail oriented with strong organizational and follow-through skills.
• Must have strong computer skills in Microsoft Word, Excel, Outlook and PowerPoint.
• Team oriented with strong collaboration skills.

The compensation for this role takes into account various factors, including work location, individual skill set, relevant experience, and other business needs. The estimated base salary range for this position is $95, annually. Additionally, this position is eligible for an annual discretionary bonus. Please note that this is the current estimate of the base salary range intended for this role at the time of posting.

The base salary range may be adjusted in the future.

Calamos offers a comprehensive benefits package, including health and welfare benefits (medical, dental, vision, flexible spending accounts, and employer-paid short and long-term disability), as well as retirement benefits (401(k) and profit sharing), paid time off, paid parental leave, and other wellness benefits.

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Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws.

For further information, please review the Know Your Rights notice from the Department of Labor.