Head of Regulatory Compliance
: Job Details :

At Harris, the true value of what makes us successful is found in our people. It is our unique mix of cultures, experiences, beliefs and backgrounds that sets Harris apart from the rest. We constantly strive to cultivate, nurture and amplify an unparalleled environment, where we value intellectual curiosity and uniqueness of thought. Inclusion is embedded in the very fabric of our culture of collaboration and openness.

We understand that a job description only tells one part of a broader story, and Harris is seeking dynamic candidates who can add to our best-in-class environment. We recognize that qualifications can be gained through both traditional and non-traditional paths, and we are committed to considering candidates who possess the potential to be excellent in this role regardless of prior experiences.

Therefore we encourage ALL interested individuals to submit their applications, even if they do not meet every requirement outlined in the job description.

Position Summary

The Head of Regulatory Compliance is directly accountable for regulatory compliance matters, the preparation and filing of regulatory filings, and for the oversight of the compliance review and approvals of marketing materials and external communications under firm policies and applicable regulatory regulations for Harris Associates L.P. (SEC registered investment adviser) and for Harris Associates Securities L.P. (limited purpose broker-dealer). This individual will have broad investment management compliance experience and demonstrate the ability to manage, develop, and support a high performing team in a high volume, collaborative environment. The Head of Regulatory Compliance works with multiple departments on regulatory compliance projects and provides support and assistance to the Chief Compliance Officer as well as other departments as needed.

Success in this role means having a proactive, hands-on, and collaborative attitude with a readiness to take ownership and drive accountability of a variety of initiatives. This position will serve in both an individual contributor role and leadership role and reports to the Chief Compliance Officer.

Duties and Responsibilities

Position Qualifications (Knowledge, Skills, Abilities)

• Bachelor's degree in business administration, finance or related field with a minimum of 15 years relevant work experience in the financial services industry (investment advisory, mutual funds, broker-dealer).
• Deep expertise of SEC and FINRA laws, regulations, and guidance, particularly as it relates to providing investment advisory activities to mutual funds, ETFs, SMAs, wrap accounts, and model delivery clients.
• Experience dealing with U.S. and foreign regulators and attorneys in foreign jurisdictions.
• Excellent judgment in assessing potential compliance matters, the application of industry developments to the business and knowing when to seek independent advice and when to act independently.
• Superior communication skills with an ability to present ideas and information in a clear, succinct and logical manner.
• Strong technical and organizational skills, along with the ability to manage competing priorities and deadlines.
• Excellent attention to detail, a high degree of initiative and adaptability, and the ability to deliver timely work products.
• Strong interpersonal skills and the ability to work with all levels of personnel with a high degree of integrity, professionalism and maturity.
• Driven by collective success with proven ability to lead, coach and develop a team.
• FINRA Series 7 and 24, a plus.
• Knowledge of GIPS compliance and disclosure requirements, a plus.

We offer a comprehensive benefits package designed to integrate life and work and to support our employees and their families. Benefits include, but are not limited to; medical, prescription drug, dental and vision insurance, paid time off, profit sharing plan, 401k plan, tuition reimbursement, commuter and holistic wellness benefits along with volunteer programs.

Actual annual base salaries may vary based on factors including but not limited to education, training, experience, and other job-related factors. If hired, base pay will be determined on an individualized basis and is only one part of the total compensation package, which, depending on the position, may also include a discretionary performance bonus and other Harris sponsored benefit programs.

Expected range for this Chicago-based role

$190,000 - $230,000 USD

Equal Employment Opportunity Policy Statement Harris Associates L.P. pursues a policy of equal opportunity in all areas of employment including recruitment, hiring, training, compensation, benefits, advancement, and treatment on the job. This means that Harris does not discriminate against employees, or qualified applicants, based on an individual's race, color, religion, creed, sex, age, national origin, physical disability, sexual orientation, trans-gender status, transsexual status, status as a veteran or disabled veteran, genetic information or for any other reason prohibited by law. Harris reserves the right to review publicly available information about applicants (i.e., via social networking sites), to the extent permissible under applicable law.

Reasonable Accommodation NoticeWe provide reasonable accommodation for individuals with disabilities and disabled veterans in job application procedures. If you have any difficulty using our online system and you need an accommodation due to a disability, you may use the alternative email address below to contact us about your interest in employment at ...@harrisassoc.com or you can call us at 312-###-####.

Privacy StatementThe information you send to us is used for employment purposes only. What you send is kept confidential—we will not give your personal information to outside parties without your consent.

Apply for this job

• indicates a required field

First Name *

Last Name *

Preferred First Name

Email *

Phone *

Resume/CV *

Enter manually

Accepted file types: pdf, doc, docx, txt, rtf

Enter manually

Accepted file types: pdf, doc, docx, txt, rtf

Are you local to Chicago, IL or willing to relocate? * Select...

Hybrid Work Environment: Employees are required to work in the Chicago office a minimum of 4 days per week. Are you able to meet this requirement? * Select...

During the last year, have you been a member of an audit team that audited the Oakmark Funds? * Select...

Were you referred to this position by a Harris employee? If so, please list their name. *

What are your compensation expectations? *

Are you legally authorized to work in the United States? * Select...

Will you now or in the future require visa sponsorship? * Select...

LinkedIn Profile

Confidential Self-ID Questions

Harris Associates is committed to providing equal employment opportunity to applicants and employees regardless of race, color, religion, gender, sexual orientation, pregnancy, gender identity, national origin, age, disability (including association with a person with a disability), genetic information, veteran status, military status, marital status, order of protection status, unfavorable military discharge, arrest record (or criminal history record ordered expunged, sealed, or impounded), and conviction record (subject to applicable legal exceptions), or any other characteristic protected by applicable law.

The Firm also prohibits, consistent with Illinois law, discrimination based on traits associated with race, including, but not limited to, hair texture and protective hairstyles such as braids, locks, and twists. The Firm interprets these protected statuses broadly to include both the actual status and any perceptions and assumptions made regarding these statuses. This policy applies to all aspects of employment, including but not limited to recruitment and hiring, transfers, promotions, compensation, benefits, training, discipline, termination and all other terms and conditions of employment.

To enable us to evaluate the effectiveness of our equal employment opportunity policy and diversity, equity, and inclusion initiatives, we ask you to complete the self-identification survey below. This information will be treated as confidential and in accordance with the Firm's Privacy Policy. Data collected will be used on a no-name basis for monitoring and reporting requirement purposes only.

DISABILITY STATUS: You are considered to have a disability if you have a physical or mental impairment or medical condition that substantially limits a major life activity, or if you have a history or record of such an impairment or medical condition.

Disabilities include, but are not limited to: Autism, Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, or HIV/AIDS. Blind or low vision, Cancer, Cardiovascular or heart disease, Celiac disease, Cerebral palsy, Deaf or hard of hearing, Depression or anxiety, Diabetes, Epilepsy, Gastrointestinal disorders, for example, Crohn's Disease, or irritable bowel syndrome, Intellectual disability, Missing limbs or partially missing limbs. Nervous system condition for example, migraine headaches, Parkinson's disease, or Multiple sclerosis. Psychiatric conditions, for example, bipolar disorder, schizophrenia, PTSD, or major depression.