Compliance Associate

Oliver James Group; Chicago (IL); Hybrid; USD 70,000 - 110,000; Full time

Job summary

Oliver James Group, a growing investment management firm in Chicago, seeks a Compliance Associate to support a Legal & Compliance team across funds, wealth management, and related products. You will review portfolio reports, monitor compliance, and assist with regulatory filings while developing expertise in 40 Act compliance.

Ideal candidates hold a bachelor's degree and 2–5 years in compliance or financial services, with a collaborative mindset and ability to manage multiple priorities in a

Qualifications

• Bachelor's degree required.
• 2–5 years of relevant experience in compliance or financial services.
• Strong understanding of registered funds.
• Familiarity with the Investment Company Act of 1940 preferred.
• Experience with regulatory filings or Code of Ethics programs preferred.
• Detail-oriented with data and reporting.
• Able to manage multiple priorities and work independently.
• Coachable and collaborative.

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 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.

Skills

Regulatory analysis

Analytical skills

Communication skills

Independent work

Education

Bachelor's degree

Job description

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