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Job

Compliance Associate

  • Location

    Chicago

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Contact:

    Thomas Byrne

  • Contact email:

    t.byrne@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Job ref:

    Compliance Associate - Chicago IM

  • Published:

    about 2 months ago

  • Expiry date:

    2022-05-27

  • 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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