Compliance Analyst

Location: Chicago, Illinois (Onsite)

Job Type: Full-Time

Overview

A leading investment management organization is seeking a detail-oriented Compliance Analyst to join its growing team in Chicago. This role offers the opportunity to work closely with senior leadership and cross-functional teams, supporting regulatory compliance, client reporting, and internal governance within a sophisticated asset management environment.

This is an excellent opportunity for a compliance professional looking to expand their experience in financial services within a collaborative, high-performing team.

Key Responsibilities

• Prepare and deliver client reporting for institutional investors and fund clients

• Support regulatory filings, including those related to mutual funds and advisory activities

• Monitor compliance with applicable regulations, including shareholder reporting requirements

• Maintain and update compliance documentation, including:

• Compliance Manual

• Code of Ethics

• Trade pre-clearance procedures

• Assist with internal compliance reviews and audits

• Partner cross-functionally with legal, operations, and investment teams

• Prepare responses to client due diligence requests, including RFPs and questionnaires

Qualifications

• Bachelor's degree required (Finance, Business, Legal Studies, or related field preferred)

• 3+ years of compliance, regulatory, or related experience within financial services or asset management

• Familiarity with:

• Investment Company Act

• Investment Advisers Act

• Strong analytical and problem-solving skills

• Excellent written and verbal communication skills

• Highly detail-oriented with strong organizational skills

• Ability to work independently and collaboratively

• Proficiency in Microsoft Office (Excel, Word, PowerPoint)

Compensation & Benefits

• Salary Range: $60,000 - $100,000 annually (commensurate with experience)

• Potential for discretionary bonus

• Benefits package including health, dental, vision, and 401(k) with employer match

Pay Details: $60,000.00 to $100,000.00 per year

Search managed by: Katie Soderberg

Equal Opportunity Employer/Veterans/Disabled

Military connected talent encouraged to apply

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The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable:

• The California Fair Chance Act
• Los Angeles City Fair Chance Ordinance
• Los Angeles County Fair Chance Ordinance for Employers
• San Francisco Fair Chance Ordinance

Massachusetts Candidates Only: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.