A highly reputable investment institution is looking to add a driven, detailed, and engaging Senior Compliance Analyst to its investment team, who has a strong background with investment management related laws and regulations, compliance issues and industry best practices. This role offers exposure to high-level compliance experiences that will provide exciting work and the path for future professional growth opportunities. The position will be based in the Chicagoland area.
You will be responsible for…
- Assist with regulatory research related to the company's investment management activities
- Conduct research and provide updates for ongoing regulatory changes, implementation of new policies and procedures or modification of current ones, and operational compliance oversight
- Advise legal and other departments on investment management related laws and regulations, compliance issues, and best practices
- Maintain and update investment advisor compliance manuals and oversee those written policies and processes are to standard
- Draft responses to external regulations and document requests related to alternative investments, AML, KYC, and uncleared margin matters
You should have the following qualifications…
- 3+ years of securities laws and investment compliance in financial services or a corporate setting
- Extensive knowledge of federal and state securities laws and regulations
- Bachelor's degree; preferably in Finance
- Knowledge and understanding of private or exempt investment funds, with charitable plan exemptions from securities laws is a plus
Benefits…
- Competitive salary and bonus
- Full Benefits (medical/dental/vision/401k) on first day of employment
- Excellent PTO plan
- Hybrid work setting
If you are interested, please click the link above for immediate consideration!
