Senior Compliance Associate
Senior Compliance Associate
Regulatory Filings & Advisory | Private Equity Focus
Remote (U.S.) | HQ: Chicago, IL
Compensation: $150,000-$200,000 + bonus potential
About the Firm
We are a growing compliance consulting firm specializing in regulatory and compliance advisory services for private equity firms, investment advisers, and other asset managers. Our team partners directly with clients to design, implement, and maintain robust compliance programs that meet evolving regulatory expectations.
While this role is fully remote, our headquarters is located in Chicago, and candidates must be U.S.-based.
The Role
We are seeking a Senior Compliance Associate with deep experience in investment adviser regulatory compliance to support and advise clients across a range of compliance functions. This is a hands‑on role suited for candidates who have worked in private equity, investment management, or compliance consulting and are comfortable managing complex regulatory requirements with minimal oversight.
Key Responsibilities
- Prepare, review, and file SEC regulatory forms, including Form ADV (Parts 1 & 2), Form PF, and related amendments
- Conduct marketing and advertising reviews in accordance with the Advisers Act and SEC Marketing Rule
- Perform compliance reviews and mock exams assessing adherence to regulatory requirements, internal policies, and best practices
- Support the development, implementation, and enhancement of RIA compliance programs
- Draft and update compliance policies, procedures, disclosures, and client communications
- Advise private equity and alternative investment clients on regulatory obligations and risk mitigation
- Monitor regulatory developments and assess impact to client compliance programs
- Collaborate with senior consultants and clients to remediate findings and implement corrective actions
Qualifications
- 5-10+ years of investment adviser compliance experience
- Direct experience with private equity firms, alternative investment managers, or compliance consulting (required)
- Extensive hands‑on experience with Form ADV and Form PF filings
- Strong understanding of the Advisers Act, SEC regulations, and examination priorities
- Experience reviewing marketing materials under the SEC Marketing Rule
- Bachelor's degree required; advanced degree a plus
What We Offer
- Highly competitive compensation: $150,000-$200,000 base, commensurate with experience
- Fully remote work environment with flexibility
- Exposure to sophisticated private equity and asset management clients
- Entrepreneurial firm culture with significant opportunities for growth and advancement
FAQs
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