Confidential Jobs
Our Compliance Department strives to provide industry-leading support to our field teams. We are passionate about serving as collaborators within all facets of the organization and focus on developing processes and strategies for advisors, their clients, and other mid and back-office departments, while adhering to the spirit of the regulation. You will report to the Senior Manager of Compliance. To be successful in this role, you will understand registered investment adviser and broker-dealer regulations and compliance requirements.
The experience expected from applicants, as well as additional skills and qualifications needed for this job are listed below. Responsibilities Conduct diligence reviews of onboarding practices in conjunction with the Department’s senior leadership, managing up, issue spotting, proposing solutions, etc. Perform regulatory research and assist with the preparation of analysis as necessary Manage the ADV Part 2B disclosure process Support the compliance program function Assist with the preparation of various regulatory filings as needed Manage a queue of support cases, ensuring cases are acknowledged and handled within an appropriate timeframe, and “managing up” within the Department as needed Support the onboarding of new advisor teams Maintain and create compliance desk procedures Interact with and support personnel at all levels of the Firm’s various business units Support the Compliance Department with various projects as required . Foster a positive compliance culture Requirements Meticulous attention to detail, motivated by excellence Exceptional critical thinking and communication skills, ability to educate, not dictate 3+ years of professional experience in operations or compliance working for a registered investment advisor Highly responsive and proactive, able to own tasks from start to finish Ability to take initiative and work independently with minimal supervision, while being equally comfortable working collaboratively Proficient in the use of the MS Office applications Organization and project management skills Seniority level
Seniority levelAssociate Employment type
Employment typeFull-time Job function
Job functionAdministrative IndustriesFinancial Services, Investment Management, and Banking Referrals increase your chances of interviewing at Confidential Jobs by 2x Inferred from the description for this job Medical insurance Vision insurance 401(k) Paid maternity leave Student loan assistance Disability insurance Paid paternity leave Get notified when a new job is posted. Sign in to set job alerts for “Compliance Specialist” roles. Chicago, IL $65,000.00-$90,000.00 2 weeks ago Chicago, IL $122,400.00-$168,300.00 5 days ago Compliance Specialist - Enhanced Diligence Chicago, IL $67,000.00-$99,000.00 1 week ago Chicago, IL $104,000.00-$140,000.00 1 week ago Compliance Specialist - Conflicts of Interest, Life Sciences Greater Chicago Area $275,000.00-$300,000.00 6 days ago Chicago, IL $80,000.00-$100,000.00 1 week ago Chicago, IL $80,000.00-$95,000.00 6 months ago Chicago, IL $70,251.00-$76,490.00 1 month ago Chicago, IL $69,000.00-$113,850.00 1 week ago Park Ridge, IL $58,000.00-$120,000.00 4 days ago Chicago, IL $210,000.00-$275,000.00 2 weeks ago Chicago, IL $200,000.00-$300,000.00 1 week ago ACH and Payments Compliance and Governance Chicago, IL $86,000.00-$107,000.00 1 month ago Greater Chicago Area $150,000.00-$280,000.00 2 days ago Senior Compliance Officer (or Compliance Officer) Chicago, IL $220,000.00-$280,000.00 21 hours ago Director-Corporate Compliance and Integrity Chicago, IL $100,000.00-$120,000.00 2 days ago Greater Chicago Area $100,000.00-$145,000.00 2 weeks ago Chicago, IL $69,000.00-$113,850.00 1 week ago Oak Brook, IL $65,500.00-$107,000.00 4 months ago Elk Grove Village, IL $78,000.00-$88,000.00 2 weeks ago Senior Manager of Compliance Communications Chicago, IL $190,000.00-$230,000.00 20 hours ago Chicago, IL $90,000.00-$125,000.00 1 week ago Evanston, IL $90,000.00-$180,000.00 2 weeks ago Chicago, IL $100,500.00-$173,250.00 2 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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The experience expected from applicants, as well as additional skills and qualifications needed for this job are listed below. Responsibilities Conduct diligence reviews of onboarding practices in conjunction with the Department’s senior leadership, managing up, issue spotting, proposing solutions, etc. Perform regulatory research and assist with the preparation of analysis as necessary Manage the ADV Part 2B disclosure process Support the compliance program function Assist with the preparation of various regulatory filings as needed Manage a queue of support cases, ensuring cases are acknowledged and handled within an appropriate timeframe, and “managing up” within the Department as needed Support the onboarding of new advisor teams Maintain and create compliance desk procedures Interact with and support personnel at all levels of the Firm’s various business units Support the Compliance Department with various projects as required . Foster a positive compliance culture Requirements Meticulous attention to detail, motivated by excellence Exceptional critical thinking and communication skills, ability to educate, not dictate 3+ years of professional experience in operations or compliance working for a registered investment advisor Highly responsive and proactive, able to own tasks from start to finish Ability to take initiative and work independently with minimal supervision, while being equally comfortable working collaboratively Proficient in the use of the MS Office applications Organization and project management skills Seniority level
Seniority levelAssociate Employment type
Employment typeFull-time Job function
Job functionAdministrative IndustriesFinancial Services, Investment Management, and Banking Referrals increase your chances of interviewing at Confidential Jobs by 2x Inferred from the description for this job Medical insurance Vision insurance 401(k) Paid maternity leave Student loan assistance Disability insurance Paid paternity leave Get notified when a new job is posted. Sign in to set job alerts for “Compliance Specialist” roles. Chicago, IL $65,000.00-$90,000.00 2 weeks ago Chicago, IL $122,400.00-$168,300.00 5 days ago Compliance Specialist - Enhanced Diligence Chicago, IL $67,000.00-$99,000.00 1 week ago Chicago, IL $104,000.00-$140,000.00 1 week ago Compliance Specialist - Conflicts of Interest, Life Sciences Greater Chicago Area $275,000.00-$300,000.00 6 days ago Chicago, IL $80,000.00-$100,000.00 1 week ago Chicago, IL $80,000.00-$95,000.00 6 months ago Chicago, IL $70,251.00-$76,490.00 1 month ago Chicago, IL $69,000.00-$113,850.00 1 week ago Park Ridge, IL $58,000.00-$120,000.00 4 days ago Chicago, IL $210,000.00-$275,000.00 2 weeks ago Chicago, IL $200,000.00-$300,000.00 1 week ago ACH and Payments Compliance and Governance Chicago, IL $86,000.00-$107,000.00 1 month ago Greater Chicago Area $150,000.00-$280,000.00 2 days ago Senior Compliance Officer (or Compliance Officer) Chicago, IL $220,000.00-$280,000.00 21 hours ago Director-Corporate Compliance and Integrity Chicago, IL $100,000.00-$120,000.00 2 days ago Greater Chicago Area $100,000.00-$145,000.00 2 weeks ago Chicago, IL $69,000.00-$113,850.00 1 week ago Oak Brook, IL $65,500.00-$107,000.00 4 months ago Elk Grove Village, IL $78,000.00-$88,000.00 2 weeks ago Senior Manager of Compliance Communications Chicago, IL $190,000.00-$230,000.00 20 hours ago Chicago, IL $90,000.00-$125,000.00 1 week ago Evanston, IL $90,000.00-$180,000.00 2 weeks ago Chicago, IL $100,500.00-$173,250.00 2 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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