Compliance Analyst, Asset Management (US)

LegalAndGeneral; Chicago (IL); On-site; USD 75,000 - 90,000; Full time

Benefits offered by this job

Health insurance

401K

Paid vacation

Commuter benefits

Job summary

Legal & General Investment Management (LGIMA) in Chicago seeks a Compliance Analyst to support the firm's program through monitoring, testing and advisory activities. You will help uphold the Culture of Compliance and ensure adherence to regulatory requirements and internal policies.

The role requires 2–4 years with an SEC-registered investment advisor, solid knowledge of equity, fixed income and derivatives, and strong communication and problem-solving skills.

Qualifications

• Bachelor’s degree or equivalent combination of education and experience.
• 2–4 years of experience with an SEC-registered investment advisor.
• Strong understanding of equity, fixed income and derivative securities and markets.
• Proficient with Microsoft Office (Excel, Word, PowerPoint).
• Experience with STAR Compliance and/or CRIMS is a plus.
• Ability to manage time, prioritize tasks, and meet deadlines.

Responsibilities

• Assist with forensic testing of policy and procedure compliance, including surveillance and testing.
• Lead review and approval of Code of Ethics preclearance requests (gifts, entertainment, contributions, OBAs, personal trading).
• Engage with international affiliates to align compliance standards and regulations.
• Establish workflows and document compliance procedures for efficiency and adherence.
• Cross-train to cover additional compliance tasks for team resilience.
• Assist in training employees on compliance requirements and obligations.
• Support during regulatory exams, annual reviews and internal audits.

Skills

Forensic testing

Code of Ethics review

Surveillance

Regulatory knowledge

Strong communication

Critical thinking

Documentation

Time management

Research compliance topics

Attention to detail

Education

Bachelor’s degree or equivalent

Tools

STAR Compliance

Charles River CRIMS

Microsoft Office

Job description

Legal & General Investment Management (LGIMA) in Chicago seeks a Compliance Analyst to support the firm's program through monitoring, testing and advisory activities. You will help uphold the Culture of Compliance and ensure adherence to regulatory requirements and internal policies.

The role requires 2–4 years with an SEC-registered investment advisor, solid knowledge of equity, fixed income and derivatives, and strong communication and problem-solving skills.