Compliance Associate: Investment Compliance & Risk

PPM America, Inc.; Chicago (IL); On-site; USD 72,000 - 84,000; Full time

Benefits offered by this job

Annual bonus

Health benefits

Paid time off

401(k) plan

Job summary

PPM America, Inc. seeks a Compliance Associate in Chicago to support a broad range of institutional investment compliance activities and engage with senior leaders across the firm. The role offers exposure to several investment strategies and opportunities to impact client service standards.

You will assist in monitoring investment guidelines, regulatory risk areas, and reporting, while collaborating with Trading Desk and Portfolio Management to ensure effective compliance and policy execution.

Qualifications

• Bachelor's Degree or equivalent experience required.
• 0-3 years of professional experience preferred but not required.
• Familiarity with securities regulation and compliance concepts is helpful.

Responsibilities

• Assist in oversighting client investments and monitoring compliance with investment guidelines.
• Support routine monitoring activities for personal trading, gifts, and information barriers.
• Prepare compliance reports for management and governance committees.
• Draft and review compliance policies and procedures; track regulatory developments.
• Collaborate with Trading Desk and Portfolio Management on guideline triaging and resolution.
• Contribute to ongoing compliance risk assessments and the firm's compliance plan.

Skills

Team collaboration

Communication

Attention to detail

Multitasking

PC proficiency

Aladdin familiarity

JIRA familiarity

Investment knowledge

Education

Bachelor's degree or equivalent experience

Tools

Aladdin

JIRA

Job description

PPM America, Inc. seeks a Compliance Associate in Chicago to support a broad range of institutional investment compliance activities and engage with senior leaders across the firm. The role offers exposure to several investment strategies and opportunities to impact client service standards.

You will assist in monitoring investment guidelines, regulatory risk areas, and reporting, while collaborating with Trading Desk and Portfolio Management to ensure effective compliance and policy execution.