Investment Compliance Associate

The Jackson National Life Insurance Company; Chicago (IL); On-site; USD 72,000 - 84,000; Full time

Benefits offered by this job

Annual bonus program

Health benefits

401(k) plan with matching

Paid time off

Job summary

PPM America, Inc. is seeking a Compliance Associate to gain experience across a broad spectrum of institutional investment compliance activities and exposure to PPM’s investment strategies.

You will regularly engage with seasoned investment professionals and senior leaders to provide guidance that supports our client service standards. The role involves monitoring client portfolio guidelines, communicating with trading and portfolio teams, and drafting compliance reports and policies.

Qualifications

• Bachelor's Degree or equivalent experience required.
• 0-3 years of professional experience in finance/business or compliance/risk management is preferred.
• Knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA and related rules is helpful.

Responsibilities

• Assist in oversight of the firm’s investment activities and monitor client portfolio guidelines using Aladdin.
• Support routine investment compliance monitoring and assist with deep-dive thematic reviews on compliance risk topics.
• Communicate with Trading Desk and Portfolio Management regarding guideline triaging and resolution.
• Support monitoring activities related to personal trading, political contributions, gifts and business entertainment, and information barriers.
• Prepare drafts of compliance reports for management, governance committees, and clients.
• Assist in drafting and reviewing compliance policies and procedures and track new regulations.

Skills

Written and verbal communication

Team player

Attention to detail

Project management

Microsoft Office

Aladdin familiarity

JIRA familiarity

Education

Bachelor's Degree or equivalent experience

Tools

Aladdin

JIRA

Job description

PPM America, Inc. is seeking a Compliance Associate to gain experience across a broad spectrum of institutional investment compliance activities and exposure to PPM’s investment strategies.

You will regularly engage with seasoned investment professionals and senior leaders to provide guidance that supports our client service standards. The role involves monitoring client portfolio guidelines, communicating with trading and portfolio teams, and drafting compliance reports and policies.