Compliance Associate
Our client, a well-established investment management firm, is seeking a Compliance Associate to join its Chicago-based compliance team. This role offers broad exposure to investment adviser compliance, regulatory filings, client reporting, and policy administration within a sophisticated institutional asset management environment.
Working closely with senior compliance leadership, the successful candidate will gain hands-on experience across multiple areas of the compliance function while partnering with investment, operations, and client-facing teams. This is an excellent opportunity for a compliance professional seeking a high level of visibility and responsibility within a collaborative and intellectually engaging environment.
Key Responsibilities
- Prepare and coordinate compliance-related reporting for institutional clients and investment vehicles.
- Assist with the review and preparation of regulatory filings and disclosures.
- Monitor regulatory requirements and support ongoing compliance oversight activities.
- Help administer shareholder monitoring and ownership reporting processes.
- Maintain and update compliance policies, procedures, and internal governance documentation.
- Support responses to client due diligence requests, RFPs, and compliance questionnaires.
- Participate in compliance testing, monitoring, and surveillance initiatives.
- Assist with regulatory examinations, audits, and special projects as needed.
- Support administration of the firm's Code of Ethics and related compliance programs.
Qualifications
Required Experience
- 3-7+ years of compliance, regulatory, legal, operations, or related experience within asset management, investment advisory, wealth management, mutual funds, or broader financial services.
- Experience supporting compliance programs, regulatory filings, client reporting, fund administration, or investment operations preferred.
- Working knowledge of investment adviser and investment company regulatory frameworks, including familiarity with the Investment Advisers Act and Investment Company Act.
Desired Skills
- Strong written and verbal communication skills.
- Excellent attention to detail and organizational abilities.
- Ability to manage multiple projects and deadlines simultaneously.
- Strong analytical and problem-solving skills.
- Self-motivated with the ability to work effectively both independently and in a team environment.
- Proficiency in Microsoft Office applications, including Excel, Word, and PowerPoint.
Compensation & Benefits
Our client offers a competitive compensation package, with salary commensurate with experience. The anticipated base salary range for this position is generally expected to fall between $110,000 and $150,000, though compensation may vary based on individual qualifications, experience, and overall fit.
Additional benefits include:
- Comprehensive medical, dental, and vision coverage
- 401(k) retirement savings plan
- Paid time off and holiday benefits
- Professional development and growth opportunities
Location
Chicago, IL
This position is primarily office-based and offers the opportunity to work closely with business leaders and compliance professionals in a collaborative team-oriented environment.
Equal Opportunity Employer
Our client is committed to fostering an inclusive workplace and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to any protected characteristic.
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