Chief Compliance Officer, JLL Securities

Jones Lang LaSalle

  • Chicago, IL
  • Permanent
  • Full-time
  • 11 days ago
JLL supports the Whole You, personally and professionally.Our people at JLL are shaping the future of real estate for a better world by combining world class services, advisory and technology to our clients. We are committed to hiring the best, most talented people in our industry; and we support them through professional growth, flexibility, and personalized benefits to manage life in and outside of work. Whether you’ve got deep experience in commercial real estate, skilled trades, and technology, or you’re looking to apply your relevant experience to a new industry, we empower you to shape a brighter way forward so you can thrive professionally and personally.We are looking for a Chief Compliance Officer for JLL Securities.Role PurposeThis 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.Location:On-site –Charlotte, NC, Chicago, IL, Dallas, TXIf this job description resonates with you, we encourage you to apply, even if you don’t meet all the requirements. We’re interested in getting to know you and what you bring to the table!Personalized benefits that support personal well-being and growth:JLL recognizes the impact that the workplace can have on your wellness, so we offer a supportive culture and comprehensive benefits package that prioritizes mental, physical and emotional health. Some of these benefits may include:401(k) plan with matching company contributionsComprehensive Medical, Dental & Vision CarePaid parental leave at 100% of salaryPaid Time Off and Company HolidaysFlexible and Remote Work Arrangements may be availableJLL Privacy NoticeJones Lang LaSalle (JLL), together with its subsidiaries and affiliates, is a leading global provider of real estate and investment management services. We take our responsibility to protect the personal information provided to us seriously. Generally the personal information we collect from you are for the purposes of processing in connection with JLL’s recruitment process. We endeavour to keep your personal information secure with appropriate level of security and keep for as long as we need it for legitimate business or legal reasons. We will then delete it safely and securely.For more information about how JLL processes your personal data, please view our .For additional details please see our career site pages for each country.For candidates in the United States, please see a fully copy of our Equal Employment Opportunity and Affirmative Action policy .This position may require you to be fully vaccinated against COVID-19. If required, you’ll be asked to provide proof that you’re fully vaccinated upon your start date. You’re considered fully vaccinated two weeks after you receive the second dose of a two-dose vaccine series (e.g., Pfizer or Moderna) or two weeks after a single-dose vaccine (e.g., Johnson & Johnson/Janssen). Failure to provide proof of vaccination may result in termination.Jones Lang LaSalle (“JLL”) is an Equal Opportunity Employer and is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process – including the online application and/or overall selection process – you may contact us at . This email is only to request an accommodation. Please direct any other general recruiting inquiries to our page
I want to work for JLL.Pursuant to the Arizona Civil Rights Act, criminal convictions are not an absolute bar to employment.Pursuant to Illinois Law, applicants are not obligated to disclose sealed or expunged records of conviction or arrest.Pursuant to Columbia, SC ordinance, this position is subject to a background check for any convictions directly related to its duties and responsibilities. Only job-related convictions will be considered and will not automatically disqualify the candidate.Accepting applications on an ongoing basis until candidate identified.

Jones Lang LaSalle