Jobs
>
Chicago

    Associate, Compliance - Chicago, United States - Slate Asset Management Inc.

    Slate Asset Management Inc.
    Slate Asset Management Inc. Chicago, United States

    2 weeks ago

    Default job background
    Description

    Slate Asset Management is a leading real estate focused alternative investment platform with approximately US$10 billion in assets under management. Slate is a value-oriented manager and a significant sponsor of all of its private and publicly traded investment vehicles, which are tailored to the unique goals and objectives of its investors. The firm's careful and selective investment approach creates long-term value with an emphasis on capital preservation and outsized returns. Slate is supported by exceptional people, flexible capital and a demonstrated ability to originate and execute on a wide range of compelling investment opportunities.

    We operate in a collaborative and close-knit work environment that provides opportunities for growth, autonomy and career progression. We value an entrepreneurial mindset, dedication and teamwork.

    Visit to learn more.

    The Position

    Slate is seeking an outgoing and motivated individual to collaborate on, execute and champion the firms compliance program as an Associate based in its Chicago office. This individual will report to, and work closely with, the firms Head of Compliance and Governance in providing critical support to the business.

    The Associate will have a meaningful role in the mission of the business, direct mentorship and exposure to individuals across all business groups and offices.

    Beyond analytical capabilities, Slate is looking for individuals who demonstrate an ability to work well in a dynamic, creative and entrepreneurial environment and are looking to grow and add value to the firm over the long term.

    Responsibilities

    The selected candidate will participate in the ongoing development and implementation of Slates global-reaching compliance program. They will develop subject matter expertise in certain areas and have a mix of core responsibilities and projects that leverage a diverse skill set. The selected candidate will be responsible for the following activities, among others, as assigned by the Head of Compliance and Governance:

    • Coordinate compliance aspects of employee onboarding;
    • Oversee the personal trading program;
    • Manage the compliance system for personal trading, preclearance and attestations;
    • Participate training employees on compliance program requirements;
    • Participate in executing the testing and monitoring program;
    • Assist with implementing changes with respect to regulatory developments;
    • Manage the compliance calendar;
    • Assist with and lead various projects;
    • Coordinate certifications and AML reliance letters for business partners; and
    • Coordinate compliance-related responses to investor requests (RFPs & RFIs).

    Qualifications and Experience

    • Relationship builder;
    • Able to collaborate effectively with others and seek a diversity of viewpoints;
    • Excellent judgement;
    • Technologically fluent;
    • Ability to manage core responsibilities independently;
    • Insatiable curiosity to learn and drive to figure things out;
    • Desire to contribute to the growth of the firm;
    • Results driven and deadline sensitive;
    • Focused on continual improvement;
    • Thrives in a dynamic environment and is comfortable managing competing priorities;
    • Minimum 3 years of compliance experience with an investment adviser firm preferred;
    • University degree.

    Application Process & Timeline

    Please submit your application via LinkedIn. Please note applications and communication will only be processed through LinkedIn. All candidates who are selected for preliminary interviews will be contacted regarding next steps.

    Seniority level

    • Seniority level

      Associate

    Employment type

    • Employment type

      Full-time

    Job function

    • Job function

      Other

    • Industries

      Financial Services, Real Estate, and Venture Capital and Private Equity Principals

    Referrals increase your chances of interviewing at Slate Asset Management by 2x

    Get notified about new Compliance Specialist jobs in Chicago, IL.

    Corporate Paralegal/ Contract Specialist Chicago- Direct Hire eDiscovery Paralegal

    Chicago, IL $90,000 - $130,000 2 months ago

    Chicago- Direct Hire Litigation Legal Assistant

    Chicago, IL $70,000 - $95,000 2 months ago

    Were unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

    #J-18808-Ljbffr
  • Nanhua USA LLC

    Compliance Associate

    3 weeks ago

    Nanhua USA LLC Chicago, United States

    **Company Profile**: · Nanhua USA LLC ("Nanhua USA") is and member of the National Futures Association and registered as futures commission merchant (FCM) with the U.S. Commodity Futures Trading Commission (CFTC). Nanhua USA Futures LLC is a rapidly growing FCM located in Chicago ...

  • Cresset Capital

    Associate, Compliance

    5 days ago

    Cresset Capital Chicago, United States

    **About Cresset** · Private equity entrepreneurs Eric Becker and Avy Stein founded Cresset Capital Management with a vision to reinvent wealth management and with a firm belief that clients deserve better. Cresset offers individuals and families access to a comprehensive suite of ...

  • IQ-EQ

    Associate - Compliance (Hybrid)

    2 weeks ago

    IQ-EQ Chicago, United States

    **Company Description** · IQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, reg ...

  • Invenergy

    Associate, Environmental Compliance and Strategy

    2 weeks ago

    Invenergy Chicago, United States

    Invenergy drives innovation in energy. Powered by decades of entrepreneurial experience and unparalleled execution, we solve the energy challenges facing our customers and communities. We provide power generation and storage solutions at scale around the world to create a cleaner ...

  • Gogo Business aviation

    Associate Internal Auditor, Sox Compliance

    1 week ago

    Gogo Business aviation Chicago, United States

    The Gogo Business Aviation Associate Internal Auditor, SOX Compliance, will be responsible for executing critical projects across essential functions and processes related to Sarbanes Oxley Compliance, Business Process Reviews, Internal Controls Training and Awareness, Risk Asses ...

  • Slate Asset Management

    Associate, Compliance

    2 weeks ago

    Slate Asset Management Chicago, United States

    Associate, Compliance · Slate Asset Management · Chicago, Illinois, United States · About Slate Asset Management · Slate Asset Management is a leading real estate focused alternative investment platform with approximately US$10 billion in assets under management. Slate is a valu ...

  • University of Chicago

    Compliance Associate

    1 week ago

    University of Chicago Chicago, United States

    Department · UL Crime Ed Lab Data Partnerships · About the Department · Who We Are · In cities across the country, people face high rates of gun violence, under-resourced schools, and social harms associated with the criminal justice system - all of which disproportionately impac ...

  • Larson Maddox

    Compliance Associate

    2 weeks ago

    Larson Maddox Chicago, United States

    Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Associate to join the team and work alongside the Comp ...

  • Slate Asset Management

    Associate, Compliance

    4 days ago

    Slate Asset Management Chicago, United States

    Associate, ComplianceSlate Asset ManagementChicago, Illinois, United States · Making sure you fit the guidelines as an applicant for this role is essential, please read the below carefully. · About Slate Asset ManagementSlate Asset Management is a leading real estate focused al ...

  • Chicago Financial Search, Inc.

    Compliance Associate

    2 weeks ago

    Chicago Financial Search, Inc. Chicago, United States

    Compliance Associate · Chicago - Onsite · This role is onsite and requires a candidate local to the Chicagoland area. · About The Role: · We are looking for a highly motivated compliance associate working with CCO directly to manage its FCM and CPO/CTA compliance matters. You are ...

  • Slate Asset Management

    Associate, Compliance

    2 weeks ago

    Slate Asset Management Chicago, United States

    Associate, Compliance · Slate Asset Management · Chicago, Illinois, United States · About Slate Asset Management · Slate Asset Management is a leading real estate focused alternative investment platform with approximately US$10 billion in assets under management. Slate is a ...

  • Chicago Financial Search

    Compliance Associate

    2 weeks ago

    Chicago Financial Search Chicago, United States

    Compliance Associate · Chicago - Onsite · This role is onsite and requires a candidate local to the Chicagoland area. · About The Role: · We are looking for a highly motivated compliance associate working with CCO directly to manage its FCM and CPO/CTA compliance matters. You ...

  • Slate Asset Management

    Associate, Compliance

    5 days ago

    Slate Asset Management Chicago, United States

    Associate, Compliance · Slate Asset Management · Chicago, Illinois, United States · About Slate Asset Management · Slate Asset Management is a leading real estate focused alternative investment platform with approximately US$10 billion in assets under management. Slate is a valu ...

  • Slate Asset Management Inc.

    Associate, Compliance

    1 week ago

    Slate Asset Management Inc. Chicago, United States

    Slate Asset Management is a leading real estate focused alternative investment platform with approximately US$10 billion in assets under management. Slate is a value-oriented manager and a significant sponsor of all of its private and publicly traded investment vehicles, which ar ...

  • Jump Trading

    Compliance Associate

    3 hours ago

    Jump Trading Chicago, United States

    Jump Trading Group is committed to world class research. We empower exceptional talents in Mathematics, Physics, and Computer Science to seek scientific boundaries, push through them, and apply cutting edge research to global financial markets. Our culture is unique. Constant inn ...

  • Slate Asset Management

    Associate, Compliance

    1 week ago

    Slate Asset Management Chicago, United States

    Associate, Compliance · Slate Asset Management · Chicago, Illinois, United States · Making sure you fit the guidelines as an applicant for this role is essential, please read the below carefully. · About Slate Asset Management · Slate Asset Management is a leading real estat ...

  • Calamos Asset Management

    Compliance Associate

    2 weeks ago

    Calamos Asset Management Chicago, United States

    Summary: · The Compliance Associate is responsible for a variety of tasks in support of the Compliance Department's general operations. This position oversees employee affirmations and questionnaires, FINRA registrations, as well as a variety of ad-hoc assignments and projects. ...

  • Jump Trading

    Compliance Associate

    5 days ago

    Jump Trading Chicago, United States

    Jump Trading Group is committed to world class research. We empower exceptional talents in Mathematics, Physics, and Computer Science to seek scientific boundaries, push through them, and apply cutting edge research to global financial markets. Our culture is unique. Constant inn ...

  • Chicago Financial Search

    Compliance Associate

    2 weeks ago

    Chicago Financial Search Chicago, United States

    Compliance Associate · Chicago - Onsite · This role is onsite and requires a candidate local to the Chicagoland area. · About The Role: · We are looking for a highly motivated compliance associate working with CCO directly to manage its FCM and CPO/CTA compliance matters. You ar ...

  • Rothschild Investment Corporation

    Compliance Associate

    3 weeks ago

    Rothschild Investment Corporation Chicago, United States

    We'll be hiring a compliance/operations associate. Responsible for tasks involving Broker Dealer and Registered Investment Advisor regulatory compliance. · The ideal person will be detail-oriented, while also having a strong desire to take charge and build out our internal compli ...