Sr. Compliance Associate bei Calamos Investments

Summary of the Role

The Senior Compliance Associate is responsible for assisting in the administration of the Compliance Program for each of the regulated Calamos entities. Included is testing of controls, review and updating of the firm’s policies and procedures and providing compliance support to the businesses. 

 Primary Responsibilities

• Manages the daily surveillance of investment guidelines and the processes relative to same; e.g. rules assigned to templates, accounts and funds, and proactively seeks to identify process improvements and implement same.
• Contributes to the implementation and testing of Compliance policies and procedures.
• Proactively reviews business activities to identify potential regulatory, compliance and reputational risks.
• Performs various surveillance reviews of trading activity, such as employee pre-clearance requests and front-running analyses.
• Coordinates periodic and ad hoc regulatory filings, such as 13F, 13H, Form BD/BR, Form PF and Form ADV
• Proactively stays current with new regulations and applicable changes to securities rules and regulations.
• Provides regulatory and compliance advice to business and control units on an ongoing basis. Assists in training staff on compliance regulations as needed.
• Participates in examinations and audits by internal/external parties
• Conducts compliance audits of outside sales professionals and branch office locations, as necessary.
• Proactively participate in creating new/additional 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.

• Assist in the review and drafting of RFPs, questionnaires and other standardized responses
• Performs special projects and other duties, as assigned.

Preferred Qualifications

• Bachelor’s degree required.
• Minimum 5 years compliance experience required (with mutual fund, investment advisor and broker-dealer experience preferred).
• Securities Industry Essentials (SIE) exam, Series 7 and 24 licenses required or will obtain in a reasonable timeframe
• Must have strong computer skills in Microsoft Word, Excel, Outlook and PowerPoint.
• Detail-oriented with strong organizational and follow-through skills.
• Must have strong communication skills – both verbal and written
• Team oriented, self-starter, and willingness to share ideas.
• Some travel required.

Compensation Disclosure

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 $90,000 – $110,00. 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.

 Benefits

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.