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Compliance Associate

  • Location

    Chicago, IL, USA

  • Sector:

    Banking & Front Office, Compliance & Financial Crime

  • Job type:


  • Salary:

    Dependent on experience

  • Contact:

    Matt Lang

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    over 1 year ago

  • Duration:

    12 months

  • Expiry date:


  • Startdate:

    January 2019

Responsibilities of role:
• Monitor and respond to incoming trade requests during US trading hours.
• Generate and validate firm exposure and diagnose any compliance related trading issues in real-time.
• Create and review reports to meet compliance needs and proactively monitor trading/positions.
• Challenge the status quo and identify process inefficiencies.
• Serve as a liaison between IT and compliance and help translate business needs into technical requirements.
• Drive compliance initiatives and serve as project manager – define milestones, track deliverables and coordinate meetings.
• Ability to work after hours (infrequently but if necessary).

• Minimum 3 years experience in the financial services sector.
• Highly organized and able to multi-task in a fast-paced environment (can pivot between tasks with ease).
• Excellent analytical skills with a strong attention to detail.
• Advanced proficiency in Excel/Data Visualization - vlookups, pivot tables and other advanced formulas.
• Enjoys team collaboration but is able to work autonomously and with direct limited oversight.
• Clear understanding of financial products and basic understanding of the operation of financial institutions
• Desire to be in a seat that spans across the asset manager, and a willingness to engage and understand each business.
• Experience creating queries and utilizing reporting tools to retrieve data and prepare reports is preferred.