Compliance Analyst

LegalAndGeneral • Chicago, IL

4h • $75,000 - $90,000

About The Position

The Compliance Analyst supports the firm’s Compliance Program through ongoing monitoring, surveillance, testing, and advisory activities. This role plays a key part in upholding the firm’s “Culture of Compliance” by ensuring adherence to regulatory requirements, internal policies, and ethical standards across the organization.

Requirements

• Bachelor’s degree or equivalent combination of education and experience.
• 0-2 years of experience with an SEC-registered investment advisor.
• General understanding of equity, fixed income and derivative securities and markets.
• Strong computer skills, including proficient with Microsoft Office (Excel, Word, PowerPoint),
• Ability to effectively manage time, prioritize tasks, and meet deadlines in a dynamic environment.
• Strong critical-thinking and problem-solving skill, with the ability to develop creative solutions.
• Excellent verbal and written communication skills, with the ability to clearly convey information and guidance.
• Ability to research compliance related topics and provide guidance to team members.
• Strong attention to detail with a demonstrated ability to produce through, accurate documentation.

Nice To Haves

• Experience within STAR Compliance and/or Charles River Investment Management (CRIMS) is a plus.
• Experience working in a large, international, matrixed organization is a plus.

Responsibilities

• Assist with forensic testing of compliance with policies and procedures, including employee and trade surveillance, monitoring and testing.
• Lead the review and approval of all Code of Ethics preclearance requests, including: gifts, entertainment, political contributions, charitable contributions, outside business activities, and personal trading requests.
• Engage with international affiliates on conduct and monitoring related matters to ensure global alignment of compliance standards and regulations.
• Establish workflows and document compliance procedures to support operational efficiency and regulatory adherence.
• Cross train in additional compliance tasks to provide coverage for absent team members.
• Participate in training employees on compliance requirements, supporting firm-wide understanding of obligations.
• Assist in document gathering and provide support during periodic regulatory exams, annual reviews and internal audits.
• Perform general compliance duties, supporting daily oversight and issue resolution.
• Support ad hoc compliance projects and initiatives as assigned.
• Assist the Senior Compliance Officer in maintaining and promoting a strong “Culture of Compliance” across all staff and business areas.

Benefits

• This position is also eligible to participate in the company’s annual discretionary bonus plan.
• Full time employees may be eligible for health insurance with an optional HSA, short term disability, long term disability, dental insurance, vision care, life insurance, Healthcare, Dependent and Limited Care Flexible Spending Accounts, 401K, vacation, sick time, an employee assistance program, and commuter and transit programs.
• Additional voluntary programs include: supplemental health benefits including accidental injury, critical illness and hospital indemnity insurance and pet insurance.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level