Compliance Analyst

Location: Chicago, Illinois (Onsite)
Job Type: Full-Time
Overview

A leading investment management organization is seeking a detail-oriented Compliance Analyst to join its growing team in Chicago. This role offers the opportunity to work closely with senior leadership and cross-functional teams, supporting regulatory compliance, client reporting, and internal governance within a sophisticated asset management environment.

This is an excellent opportunity for a compliance professional looking to expand their experience in financial services within a collaborative, high-performing team.

Key Responsibilities

• Prepare and deliver client reporting for institutional investors and fund clients
  
• Support regulatory filings, including those related to mutual funds and advisory activities
  
• Monitor compliance with applicable regulations, including shareholder reporting requirements
  
• Maintain and update compliance documentation, including:
  
  • Compliance Manual
    
  • Code of Ethics
    
  • Trade pre-clearance procedures
    
• Assist with internal compliance reviews and audits
  
• Partner cross-functionally with legal, operations, and investment teams
  
• Prepare responses to client due diligence requests, including RFPs and questionnaires
  

Qualifications

• Bachelor's degree required (Finance, Business, Legal Studies, or related field preferred)
  
• 3+ years of compliance, regulatory, or related experience within financial services or asset management
  
• Familiarity with:
  
  • Investment Company Act
    
  • Investment Advisers Act
    
• Strong analytical and problem-solving skills
  
• Excellent written and verbal communication skills
  
• Highly detail-oriented with strong organizational skills
  
• Ability to work independently and collaboratively
  
• Proficiency in Microsoft Office (Excel, Word, PowerPoint)
  

Compensation & Benefits

• Salary Range: $60,000 - $100,000 annually (commensurate with experience)
  
• Potential for discretionary bonus
  
• Benefits package including health, dental, vision, and 401(k) with employer match
  

Pay Details: $60,000.00 to $100,000.00 per year

Search managed by: Katie Soderberg


Equal Opportunity Employer/Veterans/Disabled

Military connected talent encouraged to apply

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