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Regulatory Compliance Officer - Investment Management

  • Location


  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $80,000 - 110,000

  • Contact:

    Thomas Byrne

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    Regulatory Compliance Officer - Investment Management

  • Published:

    about 2 months ago

  • Expiry date:


  • Startdate:


We're partnered with a growing investment management firm based in Chicago that is looking for a Compliance Officer to join their growing team.

This role can be remote or in their Chicago or Boston office (cannot be based out of New York for tax purposes).

What you'll be doing:

  • Assist with the development and administration of the internal training program 
  • Create and conduct Annual Compliance meetings and other firm training (e.g., Code of Ethics, New Hires, etc.)
  • Lead periodic compliance reviews to increase familiarity with Compliance policies, processes, and initiatives
  • Support the CCO annual reviews and updating of policies and procedures
  • Perform periodic forensic testing and surveillance of firm-wide operational activities
  • Draft and implement new policies and procedures as requested
  • Assist with implementation of new compliance initiatives
  • Serve as Compliance liaison with other departments for Information Security/BCP and vendor oversight
  • Administration and monitoring of core compliance areas such as Gifts/Entertainment, Conflicts of Interest and Political Contributions

What they're looking for:

  • Bachelors degree level educated
  • 5 years of investment management compliance experience, within a hedge fund, asset manager, or private equity firm
  • Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, NFA rules and regulations

For more information please get in touch with Thomas Byrne at