Compliance Associate - Chicago
Compensation : $100,000–$170,000
Schedule: Hybrid, Chicago-based
A Chicago-based asset manager is seeking a Compliance Analyst to support core compliance and client reporting functions. This role reports to the CCO and offers exposure across compliance, legal, and operations within a lean team.
Key responsibilities:
- Prepare client and mutual fund reports
- Assist with regulatory filings
- Monitor shareholder activity and applicable rules
- Maintain compliance documentation (Code of Ethics, manuals, trade pre-clearance)
- Support RFP responses
Qualifications:
- 5+ years of compliance experience within asset management or a related field
- Working knowledge of the Investment Company Act and Advisers Act
- Strong communication, analytical, and organizational skills
- Detail-oriented, self-starter
- Proficient in Microsoft Office
Additional Information:
Personal Time Off (PTO) is offered on an accrual basis up to 184 hours a year, 13 Paid Holidays, and up to 6 weeks of Paid Parental Leave. PTO and holiday hours are prorated based on hire date within the calendar year.
Paid Sick Leave
Benefit offerings for full-time employment include medical, dental, vision, term life and AD&D insurance, short-term and long-term disability, additional voluntary benefits, commuter benefits, wellness plans, and a 401k plan
Annual discretionary bonus based on individual performance
Equal Opportunity Employer/Veterans/Disabled
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The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable:
• The California Fair Chance Act
• Los Angeles City Fair Chance Ordinance
• Los Angeles County Fair Chance Ordinance for Employers
• San Francisco Fair Chance Ordinance
Compliance Associate in chicago at Unknown Company
This position is listed as full time and hybrid.