> Markdown version of [/jobs/ext/2043300-svp-compliance-officer](https://www.wearedevelopers.com/jobs/ext/2043300-svp-compliance-officer). Every page supports `.md` or `Accept: text/markdown`. Links point to the HTML versions so they work for humans too. Agent guide: [/agents.md](https://www.wearedevelopers.com/agents.md). --- # SVP, Compliance Officer - **Company:** Mesirow Financial Holdings, Inc. - **Location:** Chicago, IL, United States - **Experience:** Expert - **Salary:** $125,000.0 - **Contract:** Permanent contract - **Skills:** Microsoft Excel, Artificial Intelligence, Monitoring of Systems, Working Model 2D - **Published:** August 13, 2026 - **Apply:** https://recruiting2.ultipro.com/MES1003MFAC/JobBoard/69451223-cdce-4faf-9407-23a2cd5ac83b/OpportunityDetail?opportunityId=a2bee929-905f-4013-99c7-893b32c4cea2 ## About the Role * Bachelor's degree in business, finance, or a related field. * 5 + years of Financial Services Industry experience (Registered Investment Adviser experience a plus) * A strong understanding of regulatory requirements and industry standards (i.e. Investment Advisors Act of 1940, Rule 206(4)-7, and federal securities laws). * Experience with STAR Compliance, Global Relay, Red Oak, Quest, and other compliance platforms preferred. * ACAMS, Series 7, Series 24, Series 65/66, or other relevant industry certifications preferred. * Excellent analytical and problem-solving skills. * Proficiency in data analysis and reporting tools (e.g., Excel, data visualization software) ## Description As a Compliance Officer at Mesirow, the role will be responsible for supporting all aspects of the Compliance Department including review and marketing materials, Code of Ethics monitoring, trade surveillance monitoring, testing, training, and developing compliance policies, procedures and internal controls. This position reports to and works in close coordination with the Chief Compliance Officer. We currently operate in a hybrid working model, whereby you will be required to work in-office 3 days a week., * Manage the Firm's Code of Ethics Program including policies governing personal trading, gifts and entertainment, outside business activities, political contributions, conflicts of interest, and certifications. * Assist in the development of compliance training programs, including the on-going development of training materials and conducting training sessions for all new and existing employee. * Reviews marketing materials to ensure compliance with applicable rules and regulations. * Review and analyze AML program, KYC profiles, and transactions in accordance with established procedures and policy. * Maintain and support the compliance technology platform, including monitoring systems, employee certifications, disclosures, surveillance tools, and related vendor relationships. * Develop and maintain strong working relationships with Business, Compliance, Legal and Risk groups. * Monitor and stay current on relevant laws, regulations, and industry standards. * Assist in the preparation of required regulatory filings. * Lead the integration of AI tools and automation within the Compliance Department to enhance efficiency and scalability. * Perform other compliance-related responsibilities and special projects as needed. ## Related Videos - [Microservices architecture as a key element in building trading systems for global finance markets](https://www.wearedevelopers.com/videos/1196-microservices-architecture-as-a-key-element-in-building-trading-systems-for-global-finance-markets) - [APItoolkit: Using Merkle Trees and LLMs to Detect the UnDetectable in Software Monitoring](https://www.wearedevelopers.com/videos/1639-apitoolkit-using-merkle-trees-and-llms-to-detect-the-undetectable-in-software-monitoring) - [In-depth .NET Azure Functions: Isolated mode, performance and durable AI agents](https://www.wearedevelopers.com/videos/100207-in-depth-net-azure-functions-isolated-mode-performance-and-durable-ai-agents) - [Machine Learning for Software Developers (and Knitters)](https://www.wearedevelopers.com/videos/154-machine-learning-for-software-developers-and-knitters) - [How One Developer Built the Back Office for 10 Million Companies](https://www.wearedevelopers.com/videos/100082-how-one-developer-built-the-back-office-for-10-million-companies) - [System Resilience: Surviving the Software Storm](https://www.wearedevelopers.com/videos/874-system-resilience-surviving-the-software-storm) ## Related Articles - [Software Developer Salary in Switzerland [2023]](https://www.wearedevelopers.com/magazine/215-software-developer-salary-in-switzerland-2023) - [Data Analyst Salary in Switzerland](https://www.wearedevelopers.com/magazine/276-data-analyst-salary-in-switzerland) - [Everything a Developer Needs to Know About MCP with Neo4j](https://www.wearedevelopers.com/magazine/604-everything-a-developer-needs-to-know-about-mcp-with-neo4j) - [Dev Digest 176: Expensive Agents, Taking Over VSCode and Safer Vibe Coding](https://www.wearedevelopers.com/magazine/603-dev-digest-176-expensive-agents-taking-over-vscode-and-safer-vibe-coding) - [Highest Paying Tech Companies for Developers](https://www.wearedevelopers.com/magazine/220-highest-paying-tech-companies-for-developers) - [Coffee with Developers - Maria Apazoglou - Making AI understandable for all in production](https://www.wearedevelopers.com/magazine/475-coffee-with-developers-maria-apazoglou-making-ai-understandable-for-all-in-production)