Compliance Associate
Oliver James Group
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 #J-18808-Ljbffr Oliver James Group
- ...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...SuggestedWork at office
Oliver James Group
Chicago, IL1 day ago $225k - $260k
...Job Description Job Description Position: Consumer Finance Regulatory & Compliance Associate Location: Multiple U.S. Offices + Virtual Option (Remote Available) Experience: 4–6 Years Preferred Compensation: $225K–$260K+ (DOE, Location-Based) ????...SuggestedWork at officeRemote workOptimum Results Staffing
Chicago, ILa month ago- ...Compliance Associate, II - Privacy The Compliance Associate II, Privacy plays a key role in protecting patient privacy and supporting Northwestern Medicine's compliance program. This position is responsible for investigating privacy-related concerns, conducting risk...SuggestedWork at officeLocal areaRelocation package
$72k - $84k
...Compliance Associate The Compliance Associate role provides opportunities to build experience across a broad spectrum of institutional investment compliance activities and exposure to all of PPM's investment strategies. The Compliance Associate also has the opportunity...SuggestedWork at officeLocal area$50 - $60 per hour
...Compliance Associate Our client is a global asset servicing and compliance solutions provider that supports investment managers, financial institutions, and corporations with fund administration, regulatory compliance, governance, and corporate services. Job Description...SuggestedHourly payContract workTemporary workLocal area- ...and public‑sector clients with value‑added integrated financial solutions. Reference 26000GFR Responsibilities The SG Americas Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker‑dealer activities across Sociét...Work at officeLocal area
- Kearney Italia, Inc. is seeking a Risk & Compliance Associate to enhance its compliance programs and support risk management initiatives. The ideal candidate will have 4-7+ years of relevant experience and a strong commitment to ethical practices. This role offers the...
$50 - $60 per hour
...Job Description Job Description Job Title: Risk & Compliance Associate Location: Chicago, IL Industry: Management Consulting Compensation: $50 – $60 / hour (Contract) Work Schedule: Monday–Friday, 8:00 AM–5:00 PM - HYBRID Benefits: This position is...Contract workWork at officeLocal areaMonday to FridayAddison Group
Chicago, ILa month ago$80k - $90k
...Compliance Systems And Operations Associate Founded in 2008, Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401(k) consulting and cash management services...Permanent employmentWork at officeLocal areaWork from homeMonday to ThursdayFlexible hours$260k - $365k
...Senior Financial Regulatory & Compliance Associate Direct Counsel is representing a leading AmLaw 100 firm seeking a Senior Associate with 7+ years of financial services regulatory and compliance experience to join its Financial Regulatory & Compliance Practice. This...Full time- ...Compliance Officer Interactive Brokers is looking to hire a Compliance Officer with strong analytical and technical skills to join... ...and Commuter FSAs) ~ Quarterly fitness stipend to offset costs associated with traditional gym and fitness memberships or fees ~ Education...Temporary workWork at officeFlexible hours
$58.8k - $102.1k
...Job Description Position Summary The Logistics Trade Compliance Sr Analyst is responsible for executing and coordinating key operational trade compliance activities while providing guidance to cross-functional partners on import/export compliance requirements, documentation...Minimum wageFull timeRemote workShift workConstellation Brands
Chicago, IL20 hours ago- ...About this opportunity We are looking for a Compliance Officer to support Group Function Third Party Assessments within Compliance Programs & Operations. You will be part of a dynamic team that is pivotal in maintaining Ericsson’s Ethics and Compliance (E&C) Program and...Work experience placementLocal areaShift work
Ericsson
Chicago, IL12 hours ago $85k - $100k
...personal days 2 Volunteer Days per year Company paid short-term and long- term disability, parental leave. And more! About The Role The Compliance Specialist is an individual contributor responsible for managing key Ethics & Compliance program processes, initiatives, and...Temporary workWork at officeLocal areaFlexible hoursShift workBalfour Beatty Communities
Chicago, IL1 day ago- ...Reports To: Chief Compliance Officer for tastyfx/tastytrade futures Location: Chicago, IL (In-office 3 days/week) Licensure: Series 3 and Series 34 strongly preferred As a Compliance Officer, you will support the firm’s compliance program, ensuring adherence to CFTC Regulations...Work at office3 days per week
tastylive
Chicago, IL1 hour ago $67k - $99k
.../yr Direct message the job poster from Consilio LLC Corporate Compliance Specialist, Chicago, prominent global law firm. MUST HAVE LAW... ...other internet research tools Seniority level Seniority level Associate Employment type Employment type Full-time Job function Job function...16 hoursFull timeWork experience placementWork at officeRemote workConsilio
Chicago, IL5 days ago$60k
...Compliance SpecialistPOSITION DESCRIPTIONPOSITION TITLE: Compliance SpecialistPAY RANGE/GRADE: $50,000 - $60,000 / Grade 5ESSENTIAL FUNCTIONS: The Compliance Specialist plays a central role in assisting with compliance related functions pertaining to Bickerdike's rental...Full timeTemporary workWork at officeRemote workWork from homeWeekend workAfternoon shiftBickerdike Redevelopment Corporation
Chicago, IL3 days ago$25 - $28 per hour
...working environment that undeniably stands out. Every day our associates have the opportunity to collaborate together in a thriving culture... ..., competitive compensation, benefits, and incentive programs. Compliance Specialist Responsible for ensuring compliance in Low‑Income...Hourly payFull timeTemporary workPart timeLocal areaLiveamc
Chicago, IL3 days ago- ...This role will support the Trade Compliance team to administer and continuously improve an effective Trade Compliance program ensuring conformance with U.S. export/import laws and internal policy. Coordinates with other functional areas on the requirements and obligations...Full timeWork at office
AAR
Chicago, IL1 day ago - ...testing, raw material screening, cleanroom monitoring, and resolving contamination issues to ensure consumer safety and regulatory compliance. Must have experience/working knowledge in QC, QA, cGMP, ISO, FDA, EPA, and OSHA matters. Duties & Responsibilities 1....
Avlon
Melrose Park, IL4 days ago $60k - $90k
...corporations and financial institutions operating in key markets and sectors. Norton Rose Fulbright is seeking an experienced Compliance (Conflicts) Analyst with conflicts review experience to join our US team. Compliance Analysts conduct conflict-of-interest...Full timeFor contractorsWork at officeRemote workWorldwideFlexible hoursNorton Rose Fulbright
Berwyn, IL3 days ago$53.14k - $82.37k
...program liabilities. Provides proper audits to identify risk and prevent duplicate discounts and diversion. Routinely reviews 340B compliance program policies and procedures. Offers contributions and changes to ensure 340B compliance. We offer our colleagues: Flexible...Full timeWork experience placementLocal areaImmediate startFlexible hoursShift workLoyola Medicine
Maywood, IL5 days ago- ...touch service, and disciplined risk management. Everything we build is Trader-Inspired. About the Role We are seeking an experienced Compliance Officer to lead and manage EdgeClear’s compliance program across our brokerage and fintech operations. This role is responsible...
EdgeClear
Chicago, IL12 hours ago $80k - $130k
...investment results and shaping a workplace where diverse perspectives and independent thought drive better outcomes for clients. The Compliance Officer will work regularly with the CCO–Fixed Income and other compliance and legal staff in developing and implementing...Full timeLocal areaWorldwideShift workNeuberger Berman
Chicago, IL3 days ago- ...Regulatory Affairs Level III (Senior Specialist) position is responsible for global product registrations and ensuring regulatory compliance in the design, manufacturing, and sales of medical devices (including Class I and II devices, software as a medical device, and...
$63k - $95k
...and maintains registrations and listings, and ensures ongoing compliance with global regulatory bodies. This role partners closely with... ...PCQI/FDQI certification is preferred Knowledge of FSMA and associated requirements is preferred CAPA and controlled document change...For contractorsImmediate startWorldwideFlexible hours- ...Health Company in Oak Brook is seeking a Regulatory Affairs Specialist to support regulatory strategy, prepare listings, and ensure compliance. Ideal candidates will have a bachelor’s degree in Life Sciences or Engineering and at least two years of experience in...
- ...a passion for excellence and a focus on the future. As a Regulatory Affairs Specialist , you will play a key role in supporting compliance and documentation for our product line. You will work closely with Quality, R&D, and Procurement teams to manage ingredient specifications...Full timeRemote work1 day per week
- ...reports, focusing on the FR 2052a. You will work closely with Controllers, Technology, and Accounting teams to ensure regulatory compliance and produce management reporting. The ideal candidate needs to have at least 7 years of experience and a relevant degree, contributing...
- ...manage regulatory financial reporting, MBFRF and NMLS filings. The role ensures accuracy and timely submissions, while supporting compliance—experienced in FP&A tools and regulatory frameworks. Reporting to FP&A leadership, you’ll work with Legal and Finance teams and...
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