Sr. Compliance Examiner

Sr. Compliance Examiner

Federated Hermes Career Opportunity #9627

We have an exciting opportunity for Sr. Compliance Examiner in the Compliance Department in Chicago, IL!

What You’ll Do

The Sr. Compliance Examiner with assist in the implementation of the Federated Hermes compliance program as it relates to broker-dealer wrap, or “SMA”, advisory business for the Federated Hermes affiliated investment advisers. The Sr. Compliance Examiner will focus on portfolio monitoring and testing, as well as overall compliance with Federated Hermes policies and procedures and federal securities regulation. The Sr. Compliance Examiner will assist in the implementation of the Federated Hermes Compliance program by monitoring individual portfolios and transactions; client onboarding, other compliance monitoring, designing, drafting, and implementing policies and procedures as necessary, and training staff on Federated Hermes compliance requirements. The position will also participate in drafting disclosures and monitoring contract templates.

The Expertise We’re Looking For

• Bachelor’s degree or equivalent level of related experience which includes experience with financial services organizations in compliance, fund accounting, legal, audit or similar environment. Degree in accounting, finance, or business preferred.
• Professional certification (e.g., auditor, paralegal) preferred.
• Minimum 5 years of business experience plus 1 year of investment adviser compliance.
• Knowledge of municipal securities and securities markets, familiarity Investment Advisers Act of 1940, and other SEC regulations.
• Thorough understanding of investment advisory process/regulations.
• Possess or have the ability to take and pass the following securities related examinations 7, 24, 65/66.
• Proficiency with Windows/PC operating system and Microsoft Word and Excel.

Our Investment in You

We believe our employees are our most important asset! Therefore, we offer benefits programs designed to help you and your family thrive, training programs to advance your professional development and opportunities for you to give back to the community. Our offerings include:

• The annual base salary range for this position is $72,240 - $130,000. In determining salary multiple factors will be taken into consideration such as primary work location, experience, education and skill set. In addition to base salary, this position includes eligibility for a bonus.
• We offer our Employees (and, as applicable, their dependents) medical, dental, prescription, vision, and basic life insurance benefits. Additionally, Employees are eligible to enroll in our company’s 401(k) plan. Each calendar year employees are eligible for paid leave which includes fifteen vacation days, seven ill days, and ten holidays. For more information, please click the following Link: Careers
• Opportunities to expand your professional network within the firm and the community through participation in programs such as the Women in Investing Employee Resource Business Group and the University Ambassador Program.
• Location - Chicago, IL 60654
• Hybrid in-office work schedule

About Federated Hermes

At Federated Hermes, our goals are to help individuals invest and retire better, to help our clients achieve better risk-adjusted returns, and to contribute to the positive outcomes in the wider world. We pledge to always putting our clients first and to acting responsibly and transparently. Our commitment to active, responsible investment has enabled us to become a leading investment manager with $ 902.6 billion in assets under management; serving investors around the world.

We provide career opportunities that enable our employees to grow and meet their career aspirations while balancing the needs of their personal lives. We offer a collaborative environment that promotes doing things the right way and always with integrity, sharing ideas to drive positive change, and following through on our commitments. We are motivated by a higher purpose and always consider the impact of our work. We promote teamwork and foster a diverse, inclusive and respectful workplace where unique perspectives, ideas and experiences are recognized and appreciated for the contributions they bring.

For consideration, please visit our company website and reference job #9627

For additional information, please visit FederatedHermes.com

Federated Hermes, Inc. offers a competitive salary and benefits package along with a professional environment.

Only those candidates in whom we have an interest will be contacted.

We are interested in qualified candidates who are eligible to work in the United States. However, we are not able to sponsor visas.

EOE – Including Disability / Vets

Federated Hermes is committed to providing equal employment opportunities in all aspects of employment to qualified individuals without regard to the following criteria: race, color, national origin, religion, sex, pregnancy, sexual orientation, gender identity or expression, mental or physical disability, age, familial or marital status, ancestry, military status, veteran status or genetic information as well as any other prohibited criteria under any local, state or federal law applicable to Federated Hermes. As part of the firm’s equal employment opportunity statement, Federated Hermes will also comply with applicable government contractor obligations, including ensuring veterans and qualified people with disabilities are considered for employment and promotional opportunities consistent with current federal, state and local laws and regulations. Federated Hermes will also make reasonable accommodations for the religious practices of beliefs of applicants and employees, as well as for mental health or physical disability needs.