Compliance Associate

Pinnacle Career Coaching; Chicago (IL); On-site; USD 70,000 - 110,000; Full time

Job summary

A Chicago-based investment management firm is seeking a Compliance Associate to join and work closely with Senior Compliance and Legal leadership across a broad range of regulatory, governance and compliance matters supporting the firm's registered investment adviser and public and private investment funds.

This is a broad-based compliance position offering exposure across the firm's investment products and business functions, including regulatory filings, compliance testing and monitoring, fund

Qualifications

• Bachelor's degree required.
• 2–5 years of relevant experience within financial services, ideally spanning compliance, legal, audit, public accounting, due diligence or fund administration.
• Familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940 and SEC regulatory requirements.

Responsibilities

• Support the administration and annual review of the firm's compliance program, including risk assessments, testing, monitoring and remediation.
• Identify compliance risks, assess existing controls and recommend enhancements to the control environment.
• Conduct ongoing compliance monitoring and surveillance and maintain relevant policies and procedures.
• Prepare and coordinate regulatory filings including Form ADV, Form PF, Form D and Investment Company Act filings.
• Research regulatory developments and assist with implementing new processes and controls.
• Support SEC/regulatory examinations, audits, inquiries and information requests, as well as books and records requirements.
• Assist with Board and committee materials, governance documentation and regulatory reporting.
• Support the launch of new investment products and funds, including regulatory filings, offering documents, Board materials and operational readiness.
• Assist with private fund activities, including offering and subscription documents, investor communications, side letters and investor onboarding.
• Review marketing materials, presentations, investor communications, websites and DDQs for regulatory compliance.
• Support the firm's marketing compliance program, including performance disclosures and fundraising/distribution activities.

Education

Bachelor's degree

Job description

A growing Chicago-based investment management firm is seeking a Compliance Associate to join and work closely with Senior Compliance and Legal leadership across a broad range of regulatory, governance and compliance matters supporting the firm's registered investment adviser and public and private investment funds.

This is a broad-based compliance position offering exposure across the firm's investment products and business functions, including regulatory filings, compliance testing and monitoring, fund launches, marketing compliance, employee compliance and regulatory examinations.

Key Responsibilities

• Support the administration and annual review of the firm's compliance program, including risk assessments, testing, monitoring and remediation.
• Identify compliance risks, assess existing controls and recommend enhancements to the control environment.
• Conduct ongoing compliance monitoring and surveillance and maintain relevant policies and procedures.
• Prepare and coordinate regulatory filings including Form ADV, Form PF, Form D and Investment Company Act filings.
• Research regulatory developments and assist with implementing new processes and controls.
• Support SEC/regulatory examinations, audits, inquiries and information requests, as well as books and records requirements.
• Assist with Board and committee materials, governance documentation and regulatory reporting.
• Support the launch of new investment products and funds, including regulatory filings, offering documents, Board materials and operational readiness.
• Assist with private fund activities, including offering and subscription documents, investor communications, side letters and investor onboarding.
• Review marketing materials, presentations, investor communications, websites and DDQs for regulatory compliance.
• Support the firm's marketing compliance program, including performance disclosures and fundraising/distribution activities.

Candidate Profile

• Bachelor's degree required
• 2–5 years of relevant experience within financial services, ideally spanning compliance, legal, audit, public accounting, due diligence or fund administration.
• Familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940 and SEC regulatory requirements.