Compliance Officer
A well-established, privately-owned investment management firm is seeking a Compliance Officer to join its growing team. This organization manages global equity portfolios on behalf of institutional clients using a disciplined, research-driven investment approach.
This role is ideal for someone looking to gain broad exposure within a high-impact, lean compliance function, working closely with senior leadership and cross-functional teams including legal, operations, and client service. This role will be onsite in Chicago, IL.
Key Responsibilities
- Support client reporting requirements across institutional and fund investors
- Assist with regulatory filings for both the firm and affiliated investment vehicles
- Monitor and maintain adherence to shareholder-related regulatory thresholds
- Help manage and update core compliance documentation, including policies, procedures, and Code of Ethics (e.g., personal trading/pre-clearance)
- Contribute to responses for prospective client questionnaires and RFPs
- Partner with internal stakeholders on ongoing compliance initiatives and projects
What They're Looking For
- 3+ years of compliance or related experience within asset management or financial services
- Knowledge of Investment Advisers Act / Investment Company Act
- Strong attention to detail with the ability to manage multiple priorities effectively
- Clear written and verbal communication skills
- Proactive, self-directed mindset with the ability to collaborate in a small team environment
- Solid analytical and problem-solving capabilities
- Proficiency in Microsoft Office tools
Additional Details
- Reports directly to senior compliance leadership
- High-visibility role with cross-functional exposure
- Fully in-office position based in a major U.S. financial hub
If you're interested in joining a collaborative team where you can expand your regulatory expertise and contribute meaningfully to a sophisticated investment platform, this could be a strong next step.
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