Jobs
>
Chicago

    Senior Compliance Associate - Chicago, United States - EPM Scientific

    EPM Scientific
    EPM Scientific Chicago, United States

    1 week ago

    Default job background
    Description
    We have a current opportunity for a Senior Compliance Associate on a permanent basis. The position will be based in Chicago. For further information about this position please apply.
    The Senior Compliance Associate plays a pivotal role in administering the Compliance Program for each of the regulated entities.

    This position involves testing controls, reviewing and updating firm policies and procedures, and providing compliance support to various business units.


    Here are the main responsibilities:
    Assist in overseeing responsibilities for various entities at the Firm, including policy monitoring, testing, and controls.
    Drive efficiencies across the department and systems, implementing improved processes to reduce redundancy and leveraging technology for enhanced efficiency.
    Contribute to the implementation and testing of Compliance policies and procedures.
    Proactively review business activities to identify potential regulatory, compliance, and reputational risks.

    Review marketing and sales literature to ensure compliance with FINRA and SEC rules, as well as Global Investment Performance Standards and firm policies and procedures, including social media efforts.

    Assist in reviewing and drafting RFPs, questionnaires, and other standardized responses.
    Manage daily surveillance of investment guidelines and related processes, seeking process improvements and implementing them proactively.
    Provide training and mentorship to junior Compliance professionals.
    Stay current with new regulations and changes to securities rules and regulations.
    Provide regulatory and compliance advice to business and control units.
    Conduct compliance audits of outside sales professionals and branch office locations as necessary.
    Assist with regulatory and ad hoc filings as needed.

    Participate in creating new policies and procedures to support new business, including identifying conflicts of interest and determining appropriate controls to mitigate risks.

    Perform special projects and other duties as assigned.

    Preferred Qualifications:
    Bachelor's degree or equivalent work experience.
    Minimum 5 years of compliance experience required (mutual fund, investment advisor, and broker-dealer experience preferred).
    Securities Industry Essentials (SIE) exam, Series 6/7, and 24/26 licenses required
    Strong computer skills in Microsoft Word, Excel, Outlook, and PowerPoint.
    Detail-oriented with strong organizational and follow-through skills.
    Excellent communication skills - both verbal and written.
    Team-oriented, self-starter, and willingness to share ideas.
    Some travel required.

    #J-18808-Ljbffr
  • Nanhua USA LLC

    Compliance Associate

    1 week 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 ...

  • IQ-EQ

    Associate - Compliance (Hybrid)

    2 days 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

    6 days 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 ...

  • Slate Asset Management

    Associate, Compliance

    6 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 ...

  • 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 ...

  • Chicago Financial Search, Inc.

    Compliance Associate

    6 days 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 ...

  • Larson Maddox

    Compliance Associate

    1 week 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 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 ...

  • Rothschild Investment Corporation

    Compliance Associate

    1 week 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 compl ...

  • University of Chicago

    Compliance Associate

    3 days 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 i ...

  • Slate Asset Management

    Associate, Compliance

    1 week 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

    1 week 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 ...

  • Chicago Financial Search

    Compliance Associate

    5 days 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 ...

  • Larson Maddox

    Compliance Associate

    1 week 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 ...

  • Rothschild Investment Corporation

    Compliance Associate

    2 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 ...

  • The University of Chicago

    Compliance Associate

    1 week ago

    The 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 impact p ...

  • Calamos Asset Management

    Compliance Associate

    3 days 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. ...

  • Cerity Partners

    Compliance Associate

    1 week ago

    Cerity Partners Chicago, United States

    Job Details · Level · Experienced · Job Location · Chicago Office - Chicago, IL · Position Type · Full Time · Education Level · 4 Year Degree · Job Category · Finance · A Compliance Associate's primary role is to assist the Chief Compliance Officer and team with the day ...

  • The University of Chicago

    Compliance Associate

    9 hours ago

    The 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 im ...

  • GCM Grosvenor Inc

    Compliance Associate

    1 week ago

    GCM Grosvenor Inc Chicago, United States

    SUMMARY · As a member of Compliance, the individual in this position will be responsible for administering and supporting the compliance functions of GCM Grosvenor. · As an onsite/hybrid employee, you are expected to be in the office on Tuesdays and Wednesdays as well as a third ...