Impact-Driven Investment Compliance Associate

Pinnacle Career Coaching; Chicago (IL); On-site; USD 70,000 - 110,000; Full time

Job summary

A Chicago-based investment management firm is seeking a Compliance Associate to join and work closely with Senior Compliance and Legal leadership across a broad range of regulatory, governance and compliance matters supporting the firm's registered investment adviser and public and private investment funds.

This is a broad-based compliance position offering exposure across the firm's investment products and business functions, including regulatory filings, compliance testing and monitoring, fund

Qualifications

• Bachelor's degree required.
• 2–5 years of relevant experience within financial services, ideally spanning compliance, legal, audit, public accounting, due diligence or fund administration.
• Familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940 and SEC regulatory requirements.

Responsibilities

• Support the administration and annual review of the firm's compliance program, including risk assessments, testing, monitoring and remediation.
• Identify compliance risks, assess existing controls and recommend enhancements to the control environment.
• Conduct ongoing compliance monitoring and surveillance and maintain relevant policies and procedures.
• Prepare and coordinate regulatory filings including Form ADV, Form PF, Form D and Investment Company Act filings.
• Research regulatory developments and assist with implementing new processes and controls.
• Support SEC/regulatory examinations, audits, inquiries and information requests, as well as books and records requirements.
• Assist with Board and committee materials, governance documentation and regulatory reporting.
• Support the launch of new investment products and funds, including regulatory filings, offering documents, Board materials and operational readiness.
• Assist with private fund activities, including offering and subscription documents, investor communications, side letters and investor onboarding.
• Review marketing materials, presentations, investor communications, websites and DDQs for regulatory compliance.
• Support the firm's marketing compliance program, including performance disclosures and fundraising/distribution activities.

Education

Bachelor's degree

Job description

A Chicago-based investment management firm is seeking a Compliance Associate to join and work closely with Senior Compliance and Legal leadership across a broad range of regulatory, governance and compliance matters supporting the firm's registered investment adviser and public and private investment funds.

This is a broad-based compliance position offering exposure across the firm's investment products and business functions, including regulatory filings, compliance testing and monitoring, fund