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Chief Compliance Officer, JLL Securities
Chicago, IL
Job Description
We are looking for a Chief Compliance Officer for JLL Securities.
Role Purpose
This position will play a central role in ensuring regulatory compliance for our JLL Securities business by drafting and updating broker-dealer policies and procedures, providing counsel to the business about execution of regulations and laws, and by supporting an environment of ethics and compliance. Additionally, you will represent the broker-dealer before FINRA and other regulators as well as in industry meetings.
We offer to the right candidate an opportunity to realize their potential in bringing this new role to the highest standards in the industry, gain exposure to a broad range of opportunities, and make a real impact on the company's compliance risk management program.
What this job involves:
Compliance Program Management:
Develop, implement, and maintain a comprehensive compliance program consistent with applicable laws, regulations, and industry best practices.
Regularly assess and review the effectiveness of established compliance policies and procedures, and effect improvements when necessary.
Oversee the implementation and maintenance of compliance systems and technologies to facilitate efficient compliance monitoring and reporting.
Regulatory Compliance:
Ensure the company's activities are conducted in compliance with relevant federal and state securities laws, SEC rules, and FINRA and MSRB regulations.
Stay informed about changes in regulatory and compliance requirements, and proactively adapt company policies and procedures accordingly.
Establish and maintain strong working relationships with regulatory authorities and serve as the primary contact for all compliance-related communications.
Licensing and Registration:
Maintain the company's licenses, registrations, and memberships with applicable regulatory bodies, including FINRA and the MSRB.
Monitor and ensure that all employees maintain the necessary licenses and registrations required for their specific roles.
Coordinate the timely submission of all regulatory filings, reports, and disclosures.
Training and Education:
Develop and implement an ongoing training program to educate employees on compliance requirements, policies, and procedures.
Conduct regular compliance training sessions to ensure employees have a thorough understanding of their obligations and the importance of compliance.
Internal Controls and Risk Management:
Establish and maintain a robust system of internal controls to mitigate compliance risks.
Collaborate with accounting and finance personnel to ensure timely and accurate regulatory financial filings and conduct regular internal compliance audits and control evaluations to identify and address any potential compliance deficiencies.
Provide guidance and support to employees in addressing compliance issues, including review of client engagement agreements and other materials, and help develop remedial actions when necessary.
Sounds like you?
The ideal candidate will be required to have:
Bachelor's degree in finance, business administration, or related field. Advanced degree preferred.
Maintain relevant securities licenses and qualifications, including FINRA Series 7, 24, 53, 54, and 63 (with Series 27 license preferred but not required).
Minimum of 8-10 years of compliance experience within the broker-dealer industry, with a strong understanding of private funds placement, municipal securities and advisory, and derivatives work.
In-depth knowledge of applicable securities laws, SEC rules, and FINRA and MSRB regulations.
Proven track record working with regulators, such as FINRA, MSRB, the SEC, and the CFTC.
Excellent interpersonal and communication skills; a confident presenter who inspires confidence of colleagues and senior stakeholders.
Champion of ethics and integrity, trustworthy, and excellent analytical and problem-solving skills.
Team oriented, with a demonstrable history of building collaborative and productive relationships.
Position reports to the Global General Counsel, Capital Markets and the President of JLL Securities, and is based preferably in JLL offices in Chicago, Dallas, Charlotte, or Los Angeles.
JLL Is an Equal Opportunity Employer JLL is committed to developing and maintaining a diverse workforce. JLL strongly believes in equal opportunity extended to all individuals in all aspects of the employment relationship, including recruitment, hiring, training, promotion, transfer, discipline, layoff, recall and termination without regard to race, color, religion, belief, creed, age, sex, pregnancy or maternity (including childbirth and related conditions), family responsibility (e.g. child care, elder care), nationality, ethnic or national origin or ancestry, citizenship, marital status, civil partner status, sexual orientation, gender identity or expression, transgender status, veteran’s status, genetic information, trade union membership, social position, political view or status as a qualified individual with a disability, protected leave status or any other protected characteristic in accordance with applicable law. The company also endeavors to make reasonable accommodations for known physical or mental limitations of otherwise qualified employees and applicants with disabilities unless the accommodations would impose an undue hardship on the operation of our business and ensures that employment decisions are based only on valid job requirements.
Role Purpose
This position will play a central role in ensuring regulatory compliance for our JLL Securities business by drafting and updating broker-dealer policies and procedures, providing counsel to the business about execution of regulations and laws, and by supporting an environment of ethics and compliance. Additionally, you will represent the broker-dealer before FINRA and other regulators as well as in industry meetings.
We offer to the right candidate an opportunity to realize their potential in bringing this new role to the highest standards in the industry, gain exposure to a broad range of opportunities, and make a real impact on the company's compliance risk management program.
What this job involves:
Compliance Program Management:
Develop, implement, and maintain a comprehensive compliance program consistent with applicable laws, regulations, and industry best practices.
Regularly assess and review the effectiveness of established compliance policies and procedures, and effect improvements when necessary.
Oversee the implementation and maintenance of compliance systems and technologies to facilitate efficient compliance monitoring and reporting.
Regulatory Compliance:
Ensure the company's activities are conducted in compliance with relevant federal and state securities laws, SEC rules, and FINRA and MSRB regulations.
Stay informed about changes in regulatory and compliance requirements, and proactively adapt company policies and procedures accordingly.
Establish and maintain strong working relationships with regulatory authorities and serve as the primary contact for all compliance-related communications.
Licensing and Registration:
Maintain the company's licenses, registrations, and memberships with applicable regulatory bodies, including FINRA and the MSRB.
Monitor and ensure that all employees maintain the necessary licenses and registrations required for their specific roles.
Coordinate the timely submission of all regulatory filings, reports, and disclosures.
Training and Education:
Develop and implement an ongoing training program to educate employees on compliance requirements, policies, and procedures.
Conduct regular compliance training sessions to ensure employees have a thorough understanding of their obligations and the importance of compliance.
Internal Controls and Risk Management:
Establish and maintain a robust system of internal controls to mitigate compliance risks.
Collaborate with accounting and finance personnel to ensure timely and accurate regulatory financial filings and conduct regular internal compliance audits and control evaluations to identify and address any potential compliance deficiencies.
Provide guidance and support to employees in addressing compliance issues, including review of client engagement agreements and other materials, and help develop remedial actions when necessary.
Sounds like you?
The ideal candidate will be required to have:
Bachelor's degree in finance, business administration, or related field. Advanced degree preferred.
Maintain relevant securities licenses and qualifications, including FINRA Series 7, 24, 53, 54, and 63 (with Series 27 license preferred but not required).
Minimum of 8-10 years of compliance experience within the broker-dealer industry, with a strong understanding of private funds placement, municipal securities and advisory, and derivatives work.
In-depth knowledge of applicable securities laws, SEC rules, and FINRA and MSRB regulations.
Proven track record working with regulators, such as FINRA, MSRB, the SEC, and the CFTC.
Excellent interpersonal and communication skills; a confident presenter who inspires confidence of colleagues and senior stakeholders.
Champion of ethics and integrity, trustworthy, and excellent analytical and problem-solving skills.
Team oriented, with a demonstrable history of building collaborative and productive relationships.
Position reports to the Global General Counsel, Capital Markets and the President of JLL Securities, and is based preferably in JLL offices in Chicago, Dallas, Charlotte, or Los Angeles.
JLL Is an Equal Opportunity Employer JLL is committed to developing and maintaining a diverse workforce. JLL strongly believes in equal opportunity extended to all individuals in all aspects of the employment relationship, including recruitment, hiring, training, promotion, transfer, discipline, layoff, recall and termination without regard to race, color, religion, belief, creed, age, sex, pregnancy or maternity (including childbirth and related conditions), family responsibility (e.g. child care, elder care), nationality, ethnic or national origin or ancestry, citizenship, marital status, civil partner status, sexual orientation, gender identity or expression, transgender status, veteran’s status, genetic information, trade union membership, social position, political view or status as a qualified individual with a disability, protected leave status or any other protected characteristic in accordance with applicable law. The company also endeavors to make reasonable accommodations for known physical or mental limitations of otherwise qualified employees and applicants with disabilities unless the accommodations would impose an undue hardship on the operation of our business and ensures that employment decisions are based only on valid job requirements.
Job Summary
Company
Start Date
As soon as possible
Employment Term and Type
Regular, Full Time
Required Education
Bachelor's Degree
Required Experience
8 to 10 years
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