Compliance Associate

Compliance Associate - Chicago

Compensation : $100,000–$170,000

Schedule: Hybrid, Chicago-based

A Chicago-based asset manager is seeking a Compliance Analyst to support core compliance and client reporting functions. This role reports to the CCO and offers exposure across compliance, legal, and operations within a lean team.

Key responsibilities:

• Prepare client and mutual fund reports
• Assist with regulatory filings
• Monitor shareholder activity and applicable rules
• Maintain compliance documentation (Code of Ethics, manuals, trade pre-clearance)
• Support RFP responses

Qualifications:

• 5+ years of compliance experience within asset management or a related field
• Working knowledge of the Investment Company Act and Advisers Act
• Strong communication, analytical, and organizational skills
• Detail-oriented, self-starter
• Proficient in Microsoft Office

Additional Information:

Personal Time Off (PTO) is offered on an accrual basis up to 184 hours a year, 13 Paid Holidays, and up to 6 weeks of Paid Parental Leave. PTO and holiday hours are prorated based on hire date within the calendar year.

Paid Sick Leave

Benefit offerings for full-time employment include medical, dental, vision, term life and AD&D insurance, short-term and long-term disability, additional voluntary benefits, commuter benefits, wellness plans, and a 401k plan

Annual discretionary bonus based on individual performance

Equal Opportunity Employer/Veterans/Disabled

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The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable:

• The California Fair Chance Act

• Los Angeles City Fair Chance Ordinance

• Los Angeles County Fair Chance Ordinance for Employers

• San Francisco Fair Chance Ordinance