Compliance Officer

Taylor Root; Chicago (IL); Hybrid; USD 120,000 - 180,000; Full time

Job summary

Taylor Root, a leading alternative investment manager, is seeking an experienced Compliance Officer to join its Legal and Compliance team in Chicago on a hybrid basis. The role covers regulatory compliance, investigations, filings, monitoring and testing, and issue resolution.

The ideal candidate will know the Investment Advisers Act of 1940 and have a track record of independent issue assessment, investigations, and regulatory reporting.

Qualifications

• 7 to 10 years of relevant compliance experience within asset management or financial services
• Strong academic credentials
• Strong knowledge of the Investment Advisers Act of 1940 and SEC requirements
• Demonstrated experience conducting compliance investigations and resolving complex compliance matters
• Hands on experience preparing and managing regulatory filings
• Experience with compliance monitoring, testing, and risk assessments
• Familiarity with private markets, alternatives, or credit strategies is preferred
• Strong interpersonal skills with the ability to work effectively with senior professionals and business partners

Responsibilities

• Conduct and manage compliance investigations, including identifying issues, gathering and evaluating information, documenting findings, and recommending appropriate solutions
• Prepare, manage, and coordinate regulatory filings and reporting requirements
• Review marketing materials, investor communications, and other materials for compliance with applicable regulatory requirements
• Support AML/KYC and related investor compliance processes
• Evaluate the effectiveness of compliance policies, procedures, and internal controls
• Monitor regulatory developments and assess their impact on the business
• Manage special compliance projects and regulatory initiatives
• Partner with Legal, Compliance, and business professionals on ongoing compliance matters

Job description

A leading alternative investment manager is seeking an experienced Compliance Officer to join its Legal and Compliance team. This is a hybrid role with a broad mandate across regulatory compliance, with particular emphasis on compliance investigations, regulatory filings, monitoring and testing, and issue resolution.

The ideal candidate will have strong knowledge of the Investment Advisers Act of 1940 and experience independently assessing compliance issues, conducting investigations, and managing regulatory reporting requirements.

Responsibilities

• Conduct and manage compliance investigations, including identifying issues, gathering and evaluating information, documenting findings, and recommending appropriate solutions
• Prepare, manage, and coordinate regulatory filings and reporting requirements
• Review marketing materials, investor communications, and other materials for compliance with applicable regulatory requirements
• Support AML/KYC and related investor compliance processes
• Evaluate the effectiveness of compliance policies, procedures, and internal controls
• Monitor regulatory developments and assess their impact on the business
• Manage special compliance projects and regulatory initiatives
• Partner with Legal, Compliance, and business professionals on ongoing compliance matters

Qualifications

• 7 to 10 years of relevant compliance experience within asset management or financial services
• Strong academic credentials
• Strong knowledge of the Investment Advisers Act of 1940 and SEC requirements
• Demonstrated experience conducting compliance investigations and resolving complex compliance matters
• Hands on experience preparing and managing regulatory filings
• Experience with compliance monitoring, testing, and risk assessments
• Familiarity with private markets, alternatives, or credit strategies is preferred
• Strong interpersonal skills with the ability to work effectively with senior professionals and business partners