09/08/2021
About Thompson Investment Management, Inc.:
We are an investment advisory firm that manages both separately managed accounts and our proprietary mutual funds. In addition, we provide retirement plan services.
Position:
Thompson Investment Management (TIM) is looking for a Chief Compliance Officer (CCO) who will provide oversight and supervision to Thompson Investment Management, the investment advisor, as well as Thompson IM Funds, the fund company. Job responsibilities will include the development/maintenance of compliance policies and procedures as well as the design/maintenance of the compliance program. Given this overarching responsibility, the CCO will become the owner of the supervisory manual, compliance policies, personal trading review/approval, marketing compliance review, program testing, e: mail review, certifications to both Boards, compliance board reporting and training of all employees as it relates to new compliance regulations and existing policies. In addition, the CCO is expected to ensure that both entities and programs are current as it relates to SEC and FINRA regulations.
At TIM the CCO will act as the liaison to our transfer agent, US Bancorp CCO, and our distributor as well as take ownership of SEC examinations, Form ADV and other required federal and state filings. We expect that the CCO will also manage the Request for Proposal (RFP) process, given the extensive inquiry into the companies' policies and procedures, and the selling agreements with the various institutions on whose platform our funds are provided.
The ideal candidate will have a bachelor's degree and be comfortable with SEC and FINRA rules and regulations applicable to both the Registered Investment Advisor (RIA) and the fund company and be comfortable giving advice and solving problems. The candidate should have demonstrated leadership and the immediate credibility required to promote and manage a culture of compliance. They must have the ability to communicate effectively and perform multiple tasks simultaneously with accuracy. In addition, the ideal candidate would have a comprehensive understanding of the operational and compliance components of the RIA including the Investment Advisor and Investment Company Acts of 1940. This individual should be proficient in learning new software and working with Microsoft Office.
Salary will be adjusted based on experience level. We do believe that this position can be managed by an experienced individual at a 75%-100% level but do require that the candidate be present in the office during their specified working hours.
Job Types: Full-time, Part-time
Benefits:
401(k)
401(k) matching
Disability insurance
Flexible spending account
Health insurance
Life insurance
Paid time off
Tuition reimbursement
Physical Setting:
Office
Schedule:
8 hour shift
Supplemental Pay:
Bonus pay
COVID-19 considerations:
We are wearing masks in the office and providing for social distancing.
Experience:
Compliance: 5 years (Preferred)
Financial Services: 5 years (Preferred)
Work Location:
One location
Work Remotely:
No
