Mesirow Benefits Overview

Lead and manage the firms compliance programs including Code of Ethics, AML/KYC review, trade surveillance, marketing review, policy and training development, vendor and technology oversight, regulatory filings, and integration of AI and automation to improve compliance efficiency.

Lead and enhance the firms ERM framework and provide independent oversight of investment and portfolio risks. Identify, assess, monitor, and report strategic, operational, regulatory, technology, and investment risks; develop KRIs and risk appetite metrics; prepare executive and board risk reports; perform stress testing and scenario analysis; and partner with portfolio managers while maintaining independent oversight.

Oversee institutional fixed income trading desk operations and supervision, monitor real-time and end-of-day trading for risks and policy breaches, approve high-risk orders, process and reconcile trades and fund movements, maintain written supervisory procedures, support regulatory inquiries and internal audits, and provide compliance guidance to traders, sales, accounting, and legal teams.