Compliance Associate
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Location
Chicago
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Sector:
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Job type:
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Contact:
Thomas Byrne
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Contact email:
t.byrne@hamlynwilliams.com
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Salary high:
0
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Salary low:
0
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Job ref:
Compliance Associate - Chicago IM
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Published:
about 2 months ago
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Expiry date:
2022-05-27
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Startdate:
ASAP
We're working on an exciting opportunity with a growing Asset Management firm in Chicago working closely with the CCO on a range of regulatory compliance responsibilities.
What you'll be doing:
- Working on preparation for all SEC, CFTC, and international reg filings
- Reviewing annual reports generated by the surveillance system
- General central compliance activities, including, code of Ethics, personal trading, gifts and entertainment, and compliance training
What they're looking for:
- 3-5 years of investment management experience, ideally with RIA coverage and 40's advisers act experience
- Bachelors degree level educated
For more information please contact Thomas Byrne at Hamlyn Williams at t.byrne@hamlynwilliams.com
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