A growing investment management firm is seeking a Compliance Associate to join its Legal & Compliance team. This role will support compliance across a growing platform that includes registered investment funds, wealth management, and other investment products.
The position is ideal for someone with a foundational understanding of registered funds and ’40 Act compliance who is looking to continue developing within a collaborative, growing team.
Responsibilities
- Review daily portfolio compliance reports and investigate potential issues
- Support compliance monitoring and testing across multiple business areas
- Assist with board reporting and other registered fund compliance requirements
- Administer Code of Ethics processes, including personal trading, gifts and entertainment, and political contribution requirements
- Pre-clear employee trades
- Prepare and review regulatory filings, including Form ADV, Form PF, and 13F
- Monitor new rules and regulations and help implement related processes and controls
- Follow up on open compliance issues and support timely resolution
- Coordinate with internal and external stakeholders to complete compliance-related tasks
- Assist with ongoing development of compliance procedures, reporting, and controls
Qualifications
- Bachelor’s degree required
- 2-5 years of relevant experience in compliance, investment management, fund administration, public accounting, internal audit, or a related financial services function
- Strong understanding of registered funds required
- Familiarity with the Investment Company Act of 1940 strongly preferred
- Experience with compliance monitoring, regulatory filings, or Code of Ethics programs preferred
- Strong analytical, organizational, and communication skills
- Detail-oriented and comfortable working with data and reporting
- Able to manage multiple priorities and work independently
- Coachable, collaborative, and eager to continue developing within investment management compliance
Work Model
- Hybrid – 4 days per week in office
- Chicago-based
