Compliance Associate: Funds, Filings & Regulatory Strategy
Pinnacle Career Coaching
Pinnacle Career Coaching, a Chicago-based investment management firm, is seeking a Compliance Associate to collaborate with Senior Compliance and Legal leadership on regulatory, governance and compliance matters across the firm’s adviser and funds. Responsibilities include administering the compliance program, conducting risk assessments, preparing regulatory filings (ADV, PF, D), monitoring, and assisting with board materials and new product launches. #J-18808-Ljbffr Pinnacle Career Coaching
$100k - $115k
...seeking to add a Compliance Analyst to its William... ...William Blair Funds' Chief Compliance... ...compliance with regulatory requirements and... ...applicable rules; file required... ...questions and resolving associated exceptions. Participate... ...services, strategies, and solutions to...RegulatoryTemporary workWork at office$50 - $60 per hour
...global asset servicing and compliance solutions provider that... ...institutions, and corporations with fund administration, regulatory compliance, governance,... ...and maintain regulatory filings and documentation... ...A successful Compliance Associate should have: Experience...RegulatoryHourly payPermanent employmentTemporary workLocal area- ...management firm is seeking a Compliance Associate to join and work closely... ...leadership across a broad range of regulatory, governance and compliance... ...and private investment funds. This is a broad-based compliance... ..., including regulatory filings, compliance testing and monitoring...Regulatory
- ...of private investment funds, including private... ...diverse asset classes and strategies. Drafting and... ...arrangements. Ensuring regulatory compliance with applicable securities... ..., and Form D/Form PF filings. Conducting due... ...and mentoring junior associates. #J-18808-Ljbffr Ropes...Regulatory
- BCG Attorney Search seeks a highly qualified Associate for their Corporate Investment Funds Regulatory Practice in Chicago, IL. Candidates should possess a Juris Doctor degree and a minimum of 3 years of experience in asset management regulatory matters, including knowledge...RegulatoryWorldwide
$49.63k - $103.39k
...advertising review and/or advertising filing, ensuring compliance with applicable regulatory requirements. We are seeking a... ...Communications, Marketing Strategy Team and Finance to verify specific... ...your future with our 100% company-funded Employee Stock Ownership Plan (ESOP...RegulatoryNight shift- ...And, we’re developing strategies and implementing... ...specialize in supporting regulatory compliance, risk, credit, financial... .... Our capable Associates leverage Huron tools,... ...reports (SARs) should be filed based on case investigations... ...conducting flow of funds analysis and...RegulatoryFor contractorsWork at office
- SUMMARY As a key member of the Absolute Return Strategies Fund Accounting & Analysis team, this role is responsible for fund accounting... ...in preparing financial statements, audit support, and regulatory compliance reports. Conduct analytical review of weekly and monthly fund...RegulatoryWork at office
$110k - $139k
...Director, Asset Management & Strategy, Affordable Housing... ..., Finance, and Compliance while leveraging deep... ...teams for specific IFF funding sources (public and private... ...agreements, regulatory agreements, financing... ...documentation in loan files and database with current...RegulatoryPermanent employmentFull timeTemporary workWork experience placementSummer workWork at officeLocal areaRemote workWork from homeFlexible hoursWeekend workAfternoon shiftEarly shift- Job DetailExperience Level Associate DirectorDegree Type Bachelor of Science... ...Associate OverviewThe Compliance Associate will support compliance... ...compliance calendar management, annual filings, and brokerage statement reviews to ensure regulatory adherence.Collaborate on...RegulatoryFlexible hours
$98.18k - $115.5k
...support (CCO Support) to Chief Compliance Officers (CCOs) for multiple... ...trusts containing mutual funds and exchange traded funds employing diverse investment strategies regulated under the Investment... ...programs in an ever-changing regulatory environment, a variety of internal...RegulatoryFull timeWork at officeLocal areaRemote workFlexible hours3 days per week$165k - $220k
...InformationHiring Manager:Co-Chief Compliance Officer, Senior... ...Department also manages the Firm's regulatory profile under relevant securities... ...Department include fund structuring, contract and entity... ...managing and completing regulatory filings, including Form ADV, Form PF...RegulatoryFull timeContract workTemporary workWork at office- Kirkland & Ellis LLP in New York seeks an Investment Funds Paralegal to support partners in fund formation and investment management... ...with pre/post-closing activities, investor materials, and regulatory filings, while maintaining calendars and creating reports in Excel....Regulatory
- ...William Blair is seeking a Compliance Analyst within the WBIM dedicated compliance team... ...Compliance Officer and collaborates with the Funds' Chief Compliance Officer and the WBIM... ...and due diligence, assisting with regulatory filings (e.g., Form ADV, Form PF), and supporting...RegulatoryWork at office3 days per week
$65k - $115k
...global law firm is seeking a Fund Formation Paralegal to join the... ...for eligibility and compliance Assist with securities law research... ...and preparation of required regulatory notices Compile documentation... ...Fund-related documentation and filings are accurate and completed on...RegulatoryLocal area- ...embed sustainability into the core business strategy. Partnering with Mars Snacking Digital... ...Mission Control, you will fund and deliver end-to-end digitization, controls... ...cross-regional data flows while advancing regulatory readiness and business growth. #J-18808...Regulatory
- ...reporting, and administration for assigned funds within the Fund Administration... ...providers and Calamos teams to ensure GAAP compliance and accurate fund NAVs. You will review... ...expenses, and support internal controls and regulatory filings while mentoring junior staff. #J-18808...Regulatory
$125k - $145k
...innovative investment strategies. As one of the top... ...portfolios, mutual funds, ETFs, closed-end... ...are met including regulatory reporting and filings.Perform reviews of... ...completeness, and compliance with GAAP.Work with... ...Fund Administration associates.Participate in special...RegulatoryFull timeTemporary workFlexible hoursNight shift$75k - $82k
...Compliance Analyst Location & Travel: This position is based in Chicago... ...of initial LIHTC resident files. Extensive experience with... ...that company, HUD, and other funding partners' compliance... ...safeguards the financial and regulatory integrity of the properties,...RegulatoryPermanent employmentFull timeWork at officeRemote workMonday to Friday2 days per week3 days per week$110k - $210k
...engagements for investment funds, private equity, hedge... ...delivering strategic compliance, consulting, and... ...practice growth. SALT Strategy & Compliance Lead and... ...analysis, and state-specific filing positions. Serve as a... ...legislative and regulatory developments across key...RegulatoryFull timeContract workWork at officeLocal areaRemote work- ...Overview Leads end-to-end regulatory filing strategy and execution for property and specialty risk insurance products across multiple U.S. jurisdictions... ...products. Conduct competitor filing analysis and assess compliance feasibility. Monitor legislative and regulatory changes...RegulatoryFlexible hours
$80k - $130k
...offering a wide range of active strategies across equity, fixed income,... ..., real estate, and hedge funds to institutions, advisors,... ...better outcomes for clients. The Compliance Officer will work regularly... ..., analyze, and respond to regulatory inquiries, including those...RegulatoryLocal areaWorldwideShift work- ...corporations, municipalities, pension funds, and private equity firms.... ...& Purpose The Senior Legal & Compliance Specialist is a hands-on role... ...governance administration, regulatory support, and legal operations... ...execution, finalization, and filing of legal documents. Maintain...RegulatoryPermanent employmentContract workWork experience placementH1bWork at office
- Northern Trust Corp is seeking an AML CIP/KYC Associate in Chicago, IL. This role involves reviewing client files for AML compliance and providing support for regulatory adherence. The ideal candidate should have comprehensive knowledge of Financial Institution Regulatory...Regulatory
- ...NFA, FIA and SIPC. Job Overview: The compliance associate role supports firm-wide compliance activities... ...are aligned with applicable regulatory requirements and internal standards. This... ...including tracking attestations and required filings Manages administration of compliance...RegulatoryWork at officeLocal areaFlexible hours3 days per week
$155.6k - $306.8k
...Summary Private Equity M&A Strategy & Diligence Manager Our... ...critical issues brought on by regulatory changes, competition, globalization... ...insurance companies, mutual funds, hedge funds, private equity,... ...geographic differential associated with the location at which the...RegulatoryOdd jobWork experience placementLocal area$275k - $375k
...Attorney – Registered Funds Direct Counsel is... ...complex legal and regulatory developments into... ...management strategy in coordination with... ...partners, counsel, associates, and professional... ...disclosure, governance, compliance, board matters, regulatory filings, and ongoing fund...Regulatory$189.2k - $372.9k
...Summary Private Equity M&A Strategy & Diligence Senior ManagerOur... ...issues brought on by regulatory changes, competition, globalization... ...insurance companies, mutual funds, hedge funds, private equity,... ...geographic differential associated with the location at which the...RegulatoryOdd jobWork experience placementLocal area$225k - $260k
...Description Job Description Position: Consumer Finance Regulatory & Compliance Associate Location: Multiple U.S. Offices + Virtual Option (... ...Credit Opportunity Act (ECOA) Counsel clients on risk strategy, enforcement actions, and consumer lending products...RegulatoryWork at officeRemote work- ...Role Quincy Wells Group is seeking a Compliance Associate to support our compliance function... ...support the ongoing execution of the firm's regulatory and supervisory responsibilities.... ...registrations, vendor oversight, and regulatory filing requirements Additional...RegulatoryWork at office
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