What are the responsibilities and job description for the Senior Compliance Officer position at Talently?
Job Title: Senior Compliance Officer/ Assistant General Counsel
Location: Wheaton, IL (Onsite)
Compensation: $120K-170K Bonus DOE/ $150K-$240K for Attorney Applicants that can work a dual role as AGC/Compliance Officer
Skills: Private Fund Offerings, Alternative Investments, Reg BI, REITs, DSTs, tender/interval funds, co-investment vehicles, PPMs, SEC and FINRA rules and regulations
We are a registered broker-dealer that needs an experienced Senior Compliance Officer or Assistant General Counsel to join our team. If you have 5 years of compliance oversight of private fund offerings and alternative investments, then this may be a perfect fit for you!
In this role, you will:
- Oversee alternative investment private offering platform processes for offering private funds (Reg D, 506(c)).
- Ensure suitability analysis and Reg BI compliance for investors.
- Provide compliance oversight for non-traded REITs, DSTs, tender/interval funds and co-investment vehicles.
- Review PPMs, fund offering documents, and marketing materials for compliance with SEC/FINRA rules.
Must Have Skills:
- FINRA licenses: Series 24 required. Series 7/63/66 strongly preferred.
- 5–10 years in broker-dealer or securities compliance with emphasis on private funds.
- Strong knowledge of Reg D, FINRA Rules 2111/2210/5122-5123, and Reg BI.
- Bachelor’s degree.
Nice to Have Skills:
- Experience with non-traded REITs, DSTs, private offerings and investments, and closed-end funds.
- Excellent document review and communication skills.
- J.D. is also a plus
Salary : $140,000 - $240,000
