Asset Management Compliance Specialist

Innovator ETFs; Wheaton (IL); On-site; USD 65,000 - 120,000; Full time

Benefits offered by this job

401(k) with matching

Health insurance and PTO

On-site Gym

Job summary

A prominent asset management firm in Wheaton, IL, is seeking a Compliance Associate to provide oversight and support for compliance operations. This full-time role requires a Bachelor’s Degree, JD or MBA, along with 3-6 years of relevant experience. Key responsibilities include advising on regulations, reviewing marketing materials, and maintaining compliance policies. The ideal candidate exhibits excellent communication and organizational skills, with a strong capability to handle multiple tasks in a fast-paced setting. This position offers a competitive salary with a discretionary bonus and benefits including health insurance and a 401(k) matching plan.

Qualifications

• 3-6 years of compliance, legal, regulatory, or financial services industry experience.
• Ability to work in a fast-paced environment.

Responsibilities

• Provide compliance oversight and support for AM personnel.
• Review and advise on product marketing materials.
• Develop, draft, and maintain compliance policies and procedures.
• Create and deliver compliance trainings.

Skills

Excellent communication skills (oral and written)

Judgment

Organizational skills

Project management skills

Ability to handle multiple tasks

Education

Bachelor’s Degree, JD or MBA

Job description

A prominent asset management firm in Wheaton, IL, is seeking a Compliance Associate to provide oversight and support for compliance operations. This full-time role requires a Bachelor’s Degree, JD or MBA, along with 3-6 years of relevant experience. Key responsibilities include advising on regulations, reviewing marketing materials, and maintaining compliance policies. The ideal candidate exhibits excellent communication and organizational skills, with a strong capability to handle multiple tasks in a fast-paced setting. This position offers a competitive salary with a discretionary bonus and benefits including health insurance and a 401(k) matching plan.