Hybrid Registered Funds Compliance Analyst

Oliver James Group; Chicago (IL); Hybrid; USD 117,000 - 143,000; Full time

Job summary

Oliver James Group, a growing investment management firm in Chicago, seeks a Compliance Associate to support its regulatory program focused on registered funds and the 1940 Act. The role offers hybrid work with four days onsite and one day remote, reporting to the Legal & Compliance team.

The candidate will gain exposure to portfolio compliance, regulatory filings, board reporting, and ethics administration, collaborating across Legal, Compliance, and Fund Services teams to strengthen controls

Qualifications

• Experience in investment management or registered funds compliance.
• Foundational understanding of registered funds and the Investment Company Act of 1940 ('40 Act).
• Familiarity with monitoring, reporting, or filings.
• Exposure to Code of Ethics administration and board reporting is beneficial.

Responsibilities

• Review daily portfolio compliance reports and assist with issues.
• Support ongoing compliance monitoring and testing for registered funds.
• Prepare and organize materials for fund board reporting.
• Assist with Code of Ethics administration and personal trading controls.
• Help prepare regulatory filings such as Form ADV, Form PF, and Form 13F.
• Collaborate with Legal, Compliance, and Fund Services teams to maintain processes.
• Maintain accurate compliance records and reporting.
• Identify opportunities to strengthen internal controls as the business grows.

Skills

Regulatory compliance

Portfolio compliance

Regulatory filings

Analytical skills

Attention to detail

Team collaboration

Job description

Oliver James Group, a growing investment management firm in Chicago, seeks a Compliance Associate to support its regulatory program focused on registered funds and the 1940 Act. The role offers hybrid work with four days onsite and one day remote, reporting to the Legal & Compliance team.

The candidate will gain exposure to portfolio compliance, regulatory filings, board reporting, and ethics administration, collaborating across Legal, Compliance, and Fund Services teams to strengthen controls