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Compliance Associate

$90k - $100k

Alexander Chapman

Mundelein, IL

Job Description

Our client, an established investment management firm is seeking a Compliance Associate to join its compliance team.

This role offers broad exposure to registered funds, regulatory filings, governance, and marketing review.

Responsibilities

• Support contracts and agreements for U.S. and international funds and corporate entities.

• Assist with registration statements, prospectus updates, shareholder disclosures, and SEC filings, including Section 13 filings.

• Prepare Board materials, coordinate meeting agendas, and draft minutes.

• Review marketing materials, RFPs, and due diligence questionnaires.

• Help maintain compliance policies, procedures, and filing records.

• Research regulatory developments affecting investment advisers, mutual funds, and ETFs.

Qualifications

• 1–3 years of relevant experience, preferably supporting mutual funds or ETFs.

• Bachelor’s degree in finance, Business, Legal Studies, or a related field, or equivalent education and experience

• Knowledge of the Investment Company Act, Investment Advisers Act, and SEC/FINRA requirements.

About the opportunity:

  • Compensation Range : $90,000 - $100,000 base salary + Bonus
  • Work Module: Hybrid (3 days in the office, 2 days remote)
  • Location: NYC

Apply
Vacancy posted 8 days ago
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