Company

Zuckerman Investment Group is a growing independent registered investment advisory firm owned by the Zuckerman family. The firm manages over $1.4 billion for multi-generational families. We are located in downtown Chicago and we provide individuals and families with a complete offering of financial counseling and investment management services.

We are a results-driven firm with high achieving, motivated employees who value opportunities to take on complex problems, interesting projects, and share innovative ideas. We believe in cultivating relationships both internally and externally, and we are looking for someone to join our team who is committed to developing strong connections in a truly collaborative environment.

Job Description

Zuckerman Investment Group is looking for a Compliance Manager to join our compliance team. This position is unique opportunity to participate in the growth of an established wealth management firm and offers great growth potential. This position is located in Chicago, Illinois with a hybrid home/office work arrangement.  

This position will be hybrid. 

Responsibilities

  • Assisting with day-to-day management of compliance program, including leading firm trainings and managing our 3rd party compliance consultant.  
  • Create, implement, review, and analyze reports for compliance monitoring. 
  • Reviewing and approving marketing materials. 
  • Administer the Code of Ethics compliance program, including oversight of personal trading, gifts and business entertainment, and political contributions. 
  • Participating in annual compliance program review & testing. 
  • Assist in preparation of various regulatory filings (ADV, CRS, 13H, 13F). 
  • Stay abreast of new rules and regulations, implementing processes and controls in accordance with compliance dates. 
  • Coordinate with various internal and external parties to ensure completion of various tasks. 
  • Identify risks, assess mitigating controls, and make recommendations to improve the control environment. 

Qualifications

  • Bachelor’s degree required; legal/compliance, finance, and accounting background a plus. 
  • 3+ years of relevant work experience, familiarity with the Advisers Act and/or Investment Company Act; experience in public accounting, due diligence, internal audit, or similar roles in the financial services industry is beneficial. 
  • Strong written and verbal communication skills. 
  • Highly motivated with the ability to multitask and remain organized in a growing and fast-paced environment. 
  • Attention to detail and ability to see projects through to completion. 
  • Able to work under minimal supervision on individual tasks or on team projects with a strong sense of ownership and accountability. 
  • Accurate, accountable, and able to multitask while managing both time and workload. 

*We are interested in every qualified candidate who is eligible to work in the United States. However, we are not able to sponsor visas for this position.