Compliance Associate
Chicago, Illinois • $80,000-$130,000
About the Company:
Our client is a global alternative asset manager with over $75 billion in AUM. The firm invests in private equity, infrastructure, real estate, and credit strategies.
Responsibilities:
- Support RIC and other federal, state, and international regulatory filings
- Prepare tender offer materials and assist with annual updates to fund registration statements
- Coordinate board meeting materials and logistics
- Review investor subscription documents for AML/KYC compliance
- Conduct ongoing compliance testing and electronic communications surveillance
- Manage fidelity bond and D&O/E&O insurance applications and related questionnaires
- Support audits, regulatory exams, and mock examinations
- Partner with internal teams on 15(c) responses and assist with the 38a-1 annual review
- Provide day-to-day compliance guidance to employees
Requirements:
- Bachelor’s degree required
- 2-5 years of related compliance experience within financial services
- Understanding of regulatory and self-regulatory agencies
- Working knowledge of major U.S. securities laws applicable to investment advisers and registered funds
- Experience with compliance and AML systems
- Relevant certifications or licenses such as ACAMS, SIE, or Series 7 are preferred
Salary Range:
$80,000-$130,000
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