Compliance Associate

James Oliver

A growing investment management firm is seeking a Compliance Associate to join its Legal & Compliance team. This role will support compliance across a growing platform that includes registered investment funds, wealth management, and other investment products.

The position is ideal for someone with a foundational understanding of registered funds and '40 Act compliance who is looking to continue developing within a collaborative, growing team.

Responsibilities

Review daily portfolio compliance reports and investigate potential issues
Support compliance monitoring and testing across multiple business areas
Assist with board reporting and other registered fund compliance requirements
Administer Code of Ethics processes, including personal trading, gifts and entertainment, and political contribution requirements
Pre-clear employee trades
Prepare and review regulatory filings, including Form ADV, Form PF, and 13F
Monitor new rules and regulations and help implement related processes and controls
Follow up on open compliance issues and support timely resolution
Coordinate with internal and external stakeholders to complete compliance-related tasks
Assist with ongoing development of compliance procedures, reporting, and controls

Qualifications

Bachelor's degree required
2-5 years of relevant experience in compliance, investment management, fund administration, public accounting, internal audit, or a related financial services function
Strong understanding of registered funds required
Familiarity with the Investment Company Act of 1940 strongly preferred
Experience with compliance monitoring, regulatory filings, or Code of Ethics programs preferred
Strong analytical, organizational, and communication skills
Detail-oriented and comfortable working with data and reporting
Able to manage multiple priorities and work independently
Coachable, collaborative, and eager to continue developing within investment management compliance

Work Model

Hybrid - 4 days per week in office
Chicago-based

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Vacancy posted 1 day ago

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