Compliance Officer

Connect Search, LLC; Chicago (IL); On-site; USD 150,000 - 190,000; Full time

Benefits offered by this job

Medical, dental and vision coverage

401(k) match

Parental leave and fertility programs

Job summary

Connect Search, LLC is seeking an experienced Compliance Officer to join its Legal & Compliance team in Chicago. The role focuses on AML/KYC, regulatory matters, and independent execution from analysis to completion.

The ideal candidate is a well-rounded compliance generalist with hands-on AML and KYC expertise. The position requires strong analytical, writing, and project-management skills and the ability to manage detailed compliance work with minimal junior support.

Qualifications

• 7+ years of relevant compliance experience.
• Strong hands-on AML and KYC expertise.
• Knowledge of the Investment Advisers Act of 1940 and/or Investment Company Act of 1940.
• Strong analytical, writing and project-management skills.
• Able to manage detailed compliance work without relying on junior support.
• Sound judgment, discretion and strong relationship-building skills.

Responsibilities

• Own and support AML and KYC processes, including due diligence, issue identification, escalation and resolution.
• Monitor and test regulatory compliance controls.
• Assess control design and recommend improvements.
• Review background-check materials and related compliance processes.
• Manage regulatory filings.
• Review marketing materials, investor communications and reports for compliance with SEC advertising regulations.
• Investigate compliance issues and provide solution-oriented guidance.
• Update policies in response to regulatory developments.
• Support regulatory examinations and audit preparedness.
• Manage recurring responsibilities and special projects independently.
• Partner with Legal, Compliance and business leaders across the firm.

Skills

AML experience

KYC expertise

Investment Adviser Act knowledge

Analytical skills

Writing ability

Project management

Job description

A leading alternative asset manager is seeking an experienced Compliance Officer to join its Legal & Compliance team. This is a broad, substantive compliance role for someone who can evaluate issues, provide practical guidance and independently execute responsibilities from analysis through completion. The ideal candidate is a well-rounded investment-management compliance generalist with meaningful hands-on AML and KYC expertise.

Responsibilities

• Own and support AML and KYC processes, including due diligence, issue identification, escalation and resolution
• Monitor and test regulatory compliance controls
• Assess control design and recommend improvements
• Review background-check materials and related compliance processes
• Manage regulatory filings
• Review marketing materials, investor communications and reports for compliance with SEC advertising regulations
• Investigate compliance issues and provide solution-oriented guidance
• Update policies in response to regulatory developments
• Support regulatory examinations and audit preparedness
• Manage recurring responsibilities and special projects independently
• Partner with Legal, Compliance and business leaders across the firm

Qualifications

• 7+ years of relevant compliance experience
• Strong hands-on AML and KYC expertise
• Knowledge of the Investment Advisers Act of 1940 and/or Investment Company Act of 1940
• Strong analytical, writing and project-management skills
• Able to manage detailed compliance work without relying on junior support
• Sound judgment, discretion and strong relationship-building skills
• Medical, dental and vision coverage fully paid by the employer
• 401(k) match
• Parental leave and fertility and family-planning programs