ChicagoFull TimeFinance
Remotely
nfacftcglobal relayform advform 13mycomplianceoffice
Job Description
📋 Description
- Support clients with a broad range of compliance matters for investment management clients
- Advise on day-to-day topics such as personal trading, email reviews, and monitoring
- Prepare and submit regulatory filings (Form ADV, Form 13)
- Manage client registrations with regulators like the SEC and CFTC
- Assist with regulatory examinations by SEC, NFA, and state regulators
- Monitor regulatory developments and assess impact on clients
🎯 Requirements
- Bachelor’s degree
- 1 to 3 years compliance experience in asset management or related fields
- Knowledge of CFTC, NFA, client requirements, and SEC examination practices preferred
- Strong MS Office skills (Teams, Excel, Word, Outlook, PowerPoint)
- Excellent written and verbal communication
- Experience with MyComplianceOffice and Global Relay is a plus
🎁 Benefits
- Core values: Client Centric, Ambitious, Agile, Collaborative, Ethical
- Equal opportunities employer
- Supportive, global team with growth opportunities
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