Location: Chicago, Illinois (Onsite)
Job Type: Full-Time
Overview
A leading investment management organization is seeking a detail-oriented Compliance Analyst to join its growing team in Chicago. This role offers the opportunity to work closely with senior leadership and cross-functional teams, supporting regulatory compliance, client reporting, and internal governance within a sophisticated asset management environment.
This is an excellent opportunity for a compliance professional looking to expand their experience in financial services within a collaborative, high-performing team.
Key Responsibilities
Prepare and deliver client reporting for institutional investors and fund clients
Support regulatory filings, including those related to mutual funds and advisory activities
Monitor compliance with applicable regulations, including shareholder reporting requirements
Maintain and update compliance documentation, including:
Compliance Manual
Code of Ethics
Trade pre-clearance procedures
Assist with internal compliance reviews and audits
Partner cross-functionally with legal, operations, and investment teams
Prepare responses to client due diligence requests, including RFPs and questionnaires
Qualifications
Bachelor's degree required (Finance, Business, Legal Studies, or related field preferred)
3+ years of compliance, regulatory, or related experience within financial services or asset management
Familiarity with:
Investment Company Act
Investment Advisers Act
Strong analytical and problem-solving skills
Excellent written and verbal communication skills
Highly detail-oriented with strong organizational skills
Ability to work independently and collaboratively
Proficiency in Microsoft Office (Excel, Word, PowerPoint)
Compensation & Benefits
Salary Range: $60,000 - $100,000 annually (commensurate with experience)
Potential for discretionary bonus
Benefits package including health, dental, vision, and 401(k) with employer match
Pay Details: $60,000.00 to $100,000.00 per year
Search managed by: Katie Soderberg
Equal Opportunity Employer/Veterans/Disabled
Military connected talent encouraged to apply
To read our Candidate Privacy Information Statement, which explains how we will use your information, please navigate to https://www.lhh.com/us/en/candidate-privacy
The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable:
Massachusetts Candidates Only: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.