Associate Director, Compliance

Cresset; Chicago (IL); On-site; USD 95,000 - 120,000; Full time

Job summary

Cresset is seeking an Associate Director of Compliance in Chicago, focusing on compliance monitoring and testing. The role requires a proactive individual with experience in financial services, ensuring adherence to key regulations while collaborating with compliance officers. This position offers a competitive salary and benefits, emphasizing a people-first approach.

Benefits

Medical Insurance

Dental Insurance

Vision Insurance

401(k) Retirement Plan

Health Savings Accounts

Short-term Disability Insurance

Long-term Disability Insurance

Voluntary Critical Insurance

Voluntary Accident Insurance

Pre-tax Parking

Qualifications

• 5+ years’ experience in financial services or with a regulatory organization.
• Proficiency in SEC regulations, including the Advisors Act.

Responsibilities

• Conduct compliance testing and branch exams to ensure adherence to regulations.
• Assist in developing compliance training for the firm.

Skills

Analytical

Problem Solving

Communication

Organization

Flexibility

Education

College graduate

Tools

Tableau

Power BI

Microsoft Office Suite

Job description

2 weeks ago Be among the first 25 applicants

Get AI-powered advice on this job and more exclusive features.

Cresset is a firm built by clients, for clients. As an independent, award-winning multi-family office and private investment firm, we are reimagining the way wealth is experienced. Our purpose is to help ensure that both wealth and life are fully optimized—integrated, intentional, and aligned with each client’s vision of success.

We provide access to the caliber of talent, ideas, and investment opportunities typically available to the largest single-family offices and institutions. Our approach is personalized, entrepreneurial, and client-first.

Proudly owned by our clients and employees, Cresset was built to endure. We are creating a 100+ year firm—one focused on delivering an exceptional experience, not only for the families we serve but for the team that serves them. Recognized by Barron’s and Forbes among the nation’s top RIA firms, and as one of the industry’s best places to work,* Cresset is guided by long-term relationships, shared success, and a belief that wealth should serve a life well lived.

Job Description

The Associate Director, Compliance, will support ongoing compliance efforts, focusing primarily on compliance monitoring and testing. Additionally, this role involves conducting branch exams, employee training, and performing other general compliance duties to meet regulatory requirements. This is a great opportunity for a person with experience at an RIA, broker-dealer, securities regulator, or other related financial institution. The Candidate should be a proactive, resourceful, self-starter with a roll-up-your-sleeves mentality, who is extremely organized, detail-oriented, and precise, while remaining flexible to changing priorities.

Key Responsibilities

• Conduct compliance testing and branch exams to ensure adherence to firm policies, the Investment Advisers Act of 1940, SEC guidelines, and industry regulations.
• Monitor supervised/access persons activities, trading activities and transactions to identify potential compliance issues and anomalies.
• Create and maintain dashboards and reports to track compliance metrics.
• Assist in the automation of data collection and reporting processes to improve efficiency and accuracy.
• Present compliance monitoring and testing observations to senior management, ensuring that key insights and recommendations are effectively communicated to support strategic decision-making.
• Collaborate with compliance officers to develop data-driven insights and recommendations.
• Assist in developing, implementing, and maintaining compliance training for the firm.
• Be an integral part of the compliance team, assisting with various aspects of compliance programs, including risk assessments, policy and procedure development, Annual Review, regulatory filings, and the ADV.
• Perform or assist with special projects.

Qualifications

• College graduate
• Proficiency in SEC regulations, including the Advisors Act.
• 5+ years’ experience in financial services or with a regulatory organization
• Experience with a registered investment advisor or broker-dealer in a compliance role.
• Experience using Charles River or other OMS for compliance monitoring and reporting a plus.
• Experience with data visualization tools (e.g., Tableau, Power BI) preferred.
• Excellent analytical, problem-solving, and communication skills.
• Strong written, verbal and listening skills
• Exceptional organization and planning skills with ability to multi-task
• Attention to detail and follow-through
• Versatile, flexible, and a willingness to work with changing priorities
• Proficiency with Microsoft Office Suite (Word, Excel, and PowerPoint, and Outlook)

What We Offer

At Cresset, we focus on people first. As a service business, our people are our assets. Engaging our clients and employees is our highest priority. Starting base salary range: $95,000 - $120,000. Salary will be based on factors including, but not limited to, experience, licenses/certifications, industry knowledge, and geographic location. Cresset offers a competitive compensation package including an annual incentive and a benefits package to all full-time employees including medical, dental, vision, life insurance, 401(k) retirement plan, health savings accounts, short and long-term disability insurance, voluntary critical and accident insurance, and pre-tax parking and transportation programs. Aligning employee and organizational interests, all employees receive equity in Cresset.

It is the policy of Cresset to ensure equal employment opportunity (EEO) for all employees and applicants for employment without regard to race, color, religion, sex, pregnancy (including childbirth, lactation, or related conditions), national origin or ancestry, age, disability, veteran status, uniformed servicemember status, sexual orientation, gender identity, status as a parent, genetic information (including testing and characteristics), or any other characteristic protected by applicable federal, state, or local law. It is Cresset’s policy to comply with applicable laws concerning the employment of persons with disabilities, including reasonable accommodation for applicants and employees with disabilities.

*Disclosures related to awards, recognitions, and rankings available here.

Cresset refers to Cresset Capital Management, Peakline Parent, LLC, and all of their respective subsidiaries and affiliates. Cresset Asset Management, LLC, also conducting advisory business under the names of Cresset Sports & Entertainment and CH Investment Partners, provides investment advisory, family office, and other services to individuals, families, and institutional clients. Peakline Partners, LLC, provides investment advisory services strictly to investment vehicles investing in private equity, real estate, and other investment opportunities. Cresset Asset Management, LLC, and Peakline Partners, LLC, are SEC registered investment advisors.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Other

Referrals increase your chances of interviewing at Cresset by 2x

Get notified about new Director of Compliance jobs in Chicago, IL.

Director, Legal Ops, Strategic Planning & Process Management

Deerfield, IL $136,000.00-$231,300.00 1 month ago

Deerfield, IL $186,500.00-$320,000.00 1 month ago

Director, Compliance - Retail & Corporate Functions

Deerfield, IL $149,600.00-$254,800.00 5 days ago

Director, Legal Ops, Outside Counsel & External Provider Management

Deerfield, IL $136,000.00-$231,300.00 1 month ago

Compliance and Operations Director - Aon Securities

Director of Quality & Compliance/ Director of Quality & Operational Excellence, 25-14029

Director, International Trade and Compliance

Director of People Operations (Hybrid - US)

Director, Quality Resources and Accreditation

Director of Healthcare Facilities Compliance

Chicago, IL $140,000.00-$160,000.00 2 months ago

DEPUTY DIRECTOR, HUMAN RESOURCES (BUREAU OF HUMAN RESOURCES) - SHAKMAN EXEMPT

Chicago, IL $90,000.00-$90,000.00 5 months ago

Chicago, IL $55,000.00-$75,000.00 1 week ago

Data and Continuous Quality Improvement Director

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.