A fast-growing private investment management firm is looking for a Sr. Compliance Analyst to join their downtown Chicago team. Your role will serve as a critical member of the organization, collaborating very closely with the compliance and internal audit teams by supporting its larger objectives such as clearing the way for internal audits, code of Ethics requirements, and assisting with the Investment Advisers Compliance Program Rule 206(4)-7 testing and verification program.
The Sr. Compliance Analyst will be responsible for:
- Supporting the Deputy Chief Compliance Officer and compliance team in ensuring the firm's compliance policies and procedures are effective via testing and verification
- Being a go-to expert on any compliance-related and SOC 1 controls and processes; and collaborating with colleagues to assist in determining the effectiveness of compliance, operations and IT controls
- Providing support in conducting yearly/ongoing compliance risk assessments related to the company's broker-dealer and investment advisors activities
- Assisting with the preparation of written reports outlining testing activities performed, and any findings and advice therefore after
The Sr. Compliance Analyst should have the following qualifications: ​
- Bachelor's degree in finance or business is required
- At least 3-5 years compliance experience in financial services
- Prior experience with auditing or compliance testing is ideal
- Prior experience and understanding related to: Compliance 206(4)-7, FINRA, Investment Advisors Act, SEC regulations, SOC reporting. Code of Ethics training is ideal
Benefits/Perks:
This firm offers the following competitive benefits which allows for a healthy work life balance such as:
- Competitive pay
- Generous PTO and paid holidays
- Hybrid work schedule (3 days in office/2 days remote)
- 401(k), HSA, FSA, and much more
​If you are interested in the Sr. Compliance Analyst role, then please apply!