Chief Compliance Officer

Chief Compliance Officer

This position will report in to the General Counsel and have responsibility for the overall administration of the Compliance function and managing and directing the compliance programs for various entities.  The Chief Compliance Officer directs the creation and implementation of compliance policies and procedures, provides guidance and advice regarding compliance matters, and serves as the primary contact for regulatory inquiries and examinations.

Primary ResponsibilitiesDirects the activities of the compliance staff which include hiring, delegating assignments, training, counseling, evaluating, developing and motivating staff. Provides analysis and advice in connection with the ongoing development of comprehensive compliance policies and procedures, the resolution of potential compliance issues, and the conduct of regulatory examinations. Responsible for corporate compliance and board reporting for the Calamos corporate entities including oversight of day-to-day compliance activities such as personal trading and marketing review. Develops and maintains effective controls and monitoring systems to track compliance efforts. Conducts periodic legal and regulatory risk assessments. Develops and oversees compliance and ethics training programs. Coordinates response to regulatory inquiries and examinations. Coordinates regulatory filings, registrations and reporting for various entities. Prepares reports for review and approval by senior management. Coordinates compliance with Customer Identification and Anti-Money Laundering Program requirements. Collaborates with other departments (e.g., Risk Management, Internal Audit, Human Resources, Finance, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with outside counsel as appropriate and necessary to address legal and compliance issues. Provides advice to business units as requested. Provides support to General Counsel. Conducts and manages legal / compliance research as requested. Researches and drafts memoranda. Reviews contracts and related agreements, as requested. Performs related duties as assigned.

QualificationsBachelors Degree required.  M.B.A. or J.D. from an accredited law school a plus. 10+ years of experience in the financial services industry, preferably in compliance. Series 7 and 24 required; Series 27 considered a plus. Experience developing, testing and implementing policies and procedures for registered broker dealers and investment advisers. Thorough working knowledge of both FINRA and SEC / RIA requirements, rules and regulations Ability to manage multiple priorities.

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