Global Compliance Analyst

L&G – Asset Management, America; Chicago (IL); On-site; USD 65,000 - 95,000; Full time

Benefits offered by this job

Health insurance

HSA

Short/Long disability insurance

Dental insurance

Vision care

Life insurance

401K

Vacation

Sick time

Commuter benefits

Employee assistance

Job summary

L&G Asset Management, America is seeking a Compliance Analyst to support its Compliance Program through monitoring, testing and advisory activities. The role upholds the firm’s Culture of Compliance across the organization.

You will coordinate with international affiliates, review ethics preclearance requests, and assist during regulatory exams and audits. The position is full-time in Chicago with a comprehensive benefits package.

Qualifications

• Bachelor’s degree or equivalent combination of education and experience.
• 2-4 years of experience with an SEC-registered investment advisor.
• General understanding of equity, fixed income and derivative securities and markets.
• Strong computer skills, including proficient with Microsoft Office (Excel, Word, PowerPoint).
• Experience within STAR Compliance and/or Charles River Investment Management (CRIMS) is a plus.
• Ability to manage time and meet deadlines in a dynamic environment.
• Strong critical-thinking and problem-solving skills with creative solutions.
• Excellent verbal and written communication skills.

Responsibilities

• Assist with forensic testing of compliance with policies and procedures.
• Lead the review and approval of Code of Ethics preclearance requests.
• Engage with international affiliates to align compliance standards.
• Establish workflows and document compliance procedures.
• Cross-train in additional compliance tasks for coverage.
• Participate in training employees on compliance requirements.
• Assist during regulatory exams, annual reviews and internal audits.
• Perform general compliance duties and issue resolution.
• Support ad hoc compliance projects and initiatives.
• Support Senior Compliance Officer in promoting a strong Culture of Compliance.

Skills

Forensic testing

Code of Ethics review

Global coordination

Time management

Communication

Attention to detail

Education

Bachelor’s degree or equivalent

Tools

STAR Compliance

CRIMS

MS Office

Job description

L&G Asset Management, America is seeking a Compliance Analyst to support its Compliance Program through monitoring, testing and advisory activities. The role upholds the firm’s Culture of Compliance across the organization.

You will coordinate with international affiliates, review ethics preclearance requests, and assist during regulatory exams and audits. The position is full-time in Chicago with a comprehensive benefits package.