We are seeking a Compliance Associate to work closely with the Compliance Manager, the Chief Compliance Officer & General Counsel, and the COO on a variety of regulatory and compliance matters in a private investment firm. You will be responsible for monitoring compliance across multiple business lines (including two SEC-registered investment advisers engaged in wealth management and managing public and private investment funds) to ensure compliance with legal and regulatory requirements.

Responsibilities

• Develop and maintain an in-depth understanding of the business areas, its products and supporting functions

• Identify risks, assess mitigating controls, and make recommendations on improving the control environment

• Prepare various regulatory filings

• Create, implement, review, and analyze reports for compliance monitoring

• Administer the Code of Ethics compliance program using Orion Technology (i.e. personal trading, gifts and business entertainment, political contributions)

• Assist with compliance training programs

• Review new rules and regulations and implement processes and controls in accordance with those rules by the compliance date

• Test the compliance program across multiple businesses on a regular basis

• Coordinate with internal and external parties to ensure completion of various tasks

Requirements

• Accounting major, Finance major, and/or JD degree preferred
• 1-3 years of relevant work experience, which could include public accounting, due diligence, internal audit, or similar roles in the financial services industry
• Advisers Act experience and/or Investment Company Act experience is a plus
• Strong written and verbal communication skills
• Highly motivated, ability to multi-task and remain organized in fast-paced office
• Attention to detail and ability to see projects through to completion
• Able to work under minimal supervision on individual tasks or on team projects with a strong sense of ownership and accountability
• Accurate, accountable, and able to multi-task while managing both time and workload

This is an incredible opportunity to develop and grow in a privately-owned wealth and investment management firm where partners continue to be investors alongside clients to preserve wealth. Come grow with us!

Job Type: Full-time

Pay: $60,000.00 - $80,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Flexible schedule
• Flexible spending account
• Health insurance
• Paid time off
• Vision insurance

Physical setting:

• Office

Schedule:

• 8 hour shift
• Monday to Friday

Ability to commute/relocate:

• Chicago, IL: Reliably commute or planning to relocate before starting work (Required)

Application Question(s):

• Do you have compliance experience in an investment firm?

Work Location: In person

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