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Job

Compliance Associate

  • Location

    Unknown

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $90 - $110K

  • Contact:

    Ryan Carter

  • Contact email:

    r.carter@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    about 2 months ago

  • Expiry date:

    2022-06-01

  • Startdate:

    ASAP

Hamlyn Williams have partnered with an established asset managment firm in Chicago looking to bring on a Compliance Associate to work directly with the Chief Compliance Officer on a variety of regulatory compliance matters.  

In this role you will:

  • Prepare and submit SEC, CFTC and foreign regulatory filings.
  • Review and analyze reports generated by the firm’s surveillance systems.
  • Assist with compliance training programs.
  • Enhance internal compliance reports by identifying potential gaps and improving automation.

In this role you will need:

  • 3-5 years of asset management experience, preferably with Advisers Act experience.
  • Familiarity with SEC, CFTC and futures regulations.
  • Excellent written and verbal communication skills, and good judgment.

I am a market specialist in compliance and financial crime working with a large network of clients in the financial services industry. If you are interested in this role or would like to explore other opportunities, feel free to reach out directly. Contact Ryan Carter at (646) 349-5998 or r.carter@hamlynwilliams.com.

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