Fiducient Advisors, formerly DiMeo Schneider & Associates, L.L.C., opened its doors on May 1, 1995, striving to provide unparalleled and customized investment consulting services. Our clients include retirement plan sponsors, nonprofit organizations, private clients, and financial institutions. We abide by a fiduciary obligation to put our clients’ interests first. This begins by providing advice that addresses each client’s unique concerns, obligations, and goals.
We operate with over 180 professionals nationwide, supporting our distinct purpose of helping clients prosper. We strive for professional satisfaction by upholding our firm guideposts by ensuring we check egos at the door, take accountability, and are thoughtfully driven.
Fiducient Advisors seeks an experienced compliance professional to join our growing firm. The Compliance Manager’s primary role is to assist the GC/CCO with the development of the firm’s compliance program and manage the day-to-day compliance coordination and administration of the compliance functions of a registered investment adviser. This role assists and enhances all aspects of the firm’s compliance program, including acting as a compliance subject matter expert to business partners throughout the firm, conducting and/or facilitating the testing program, reporting to oversight parties, and maintaining and administering the firm’s compliance policies and procedures.
- Administer and assist in the development and periodic review of compliance policies and procedures
- Administer the firm’s code of ethics/personal trading policies through the firm’s compliance software
- Perform risk assessments, compliance testing and monitoring to determine adherence to policies
- Assist CCO in preparation and delivery of relevant compliance training
- Lead books and records maintenance effort and coordinate internal or third party audits and assessments regulatory examinations
- Evaluate compliance controls to identify potential areas of risk and partner with the business to resolve
- Prepare and file regulatory filings (e.g. Form ADV, Section 13)
- Support and supervise compliance review of marketing and advertising materials
- Partner with CCO and relevant business teams in monitoring and addressing changes in the regulatory landscape impactful to the firm’s business
- Teach, coach, and develop compliance employees
- Bachelor’s degree required
- Seven (7) years’ minimum relevant compliance experience with a focus on SEC-registered investment advisers
- Working knowledge of the asset management industry and the Investment Adviser’s Act of 1940
- Strong knowledge and experience working with marketing, advertising, and cash solicitation rules
- Ability to objectively analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk
- Solution-focused and detail-oriented
- Self-motivated professional who will take ownership of their work, think strategically, and be able to work independently and collaboratively with a team
- Outstanding communication skills are essential
- Proficiency in Microsoft Suite required
- Thoughtfully driven, accountable, and able to check your ego
- 5% travel for client meetings, trainings and business events (in pre/post-COVID environment)
- This role works in a professional office environment located in downtown Chicago, IL or Windsor, CT (tentatively remote, due to the COVID-19 pandemic). The firm expects to be operating in a flexible hybrid environment starting in fall 2021.
- This role routinely uses standard office equipment such as computers, phones and photocopiers
The physical demands described here are representative of those that must be met by an associate to successfully perform the essential functions of this job.
- Sitting, particularly for sustained periods of time
- Regularly required to speak and hear
- Frequently required to stand, walk, use hands and fingers, handle or feel and reach with hands and arms
- Ability to lift up to 25 pounds
- Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions
Why Choose Fiducient Advisors?
Headquartered in Chicago’s financial district with additional offices in Hartford, Austin, Washington, DC, Boston, Los Angeles and Portland (ME), the firm strives to provide impartial, cost effective investment consulting to plan sponsors, nonprofit organizations and private clients. Seasoned professionals make use of leading edge technology to deliver a variety of services including: investment policies, performance evaluation, asset allocation analysis, administrative/trustee search, asset liability analysis, spending policies, manager/fund search, cost/benefit analysis. The firm prides itself on the level of service it provides to each client and a proactive approach. Fiducient Advisors is an equal opportunity employer committed to fostering a diverse workforce; women and minority candidates are especially encouraged to apply.