ASSOCIATE DIRECTOR, COMPLIANCE

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

Job summary

An established industry player seeks a Compliance Associate Director to enhance compliance efforts and review marketing materials. This role is perfect for proactive individuals with experience in financial services, especially at RIAs or broker-dealers. You will be integral to the compliance team, assisting in various compliance programs and ensuring adherence to regulatory requirements. Join a firm that values its people and offers a competitive compensation package, including equity opportunities and comprehensive benefits. If you thrive in a dynamic environment and are detail-oriented, this is the opportunity for you.

Benefits

Medical Insurance

Dental Insurance

Vision Insurance

401(k) Retirement Plan

Health Savings Accounts

Short and Long-term Disability Insurance

Voluntary Critical Insurance

Voluntary Accident Insurance

Pre-tax Parking

Transportation Programs

Qualifications

• 5+ years of experience in financial services or regulatory organizations.
• Experience in compliance roles at registered investment advisors or broker-dealers.

Responsibilities

• Review marketing materials for compliance with SEC guidelines.
• Assist in compliance programs, including risk assessments and policy development.

Skills

SEC Regulations Proficiency

Organizational Skills

Communication Skills

Attention to Detail

Multi-tasking

Education

College Degree

Tools

Microsoft Office Suite

Job description

Job Details

Level: Experienced

Job Location: Chicago Office - Chicago, IL

Position Type: Full Time

Education Level: 4 Year Degree

Salary Range: Undisclosed

Description

About Cresset

Cressetis 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 Compliance Associate Director will help support the ongoing efforts of Compliance with a primary focus on the review of marketing materials. Additionally, this person will assist the Compliance team with developing and conducting training for employees in addition to other general compliance duties designed to adhere to 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

• Review and analyze marketing materials, including advertisements, social media posts, websites, presentations, and newsletters, to ensure compliance with SEC guidelines and industry regulations.
• Be an integral part of the compliance team and assist in the various aspects of our compliance programs, including but not limited to, risk assessments, developing policies and procedures, assisting with Annual Review, regulatory filings and the ADV.
• Perform and/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.
• Exceptional organization and planning skills with ability to multi-task
• Team player
• Attention to detail and follow-through
• Versatile, flexible, and a willingness to work with changing priorities
• Strong communication, written, verbal and listening skills
• 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.

Equal Employment Opportunity

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 availablehere.

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.