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Sr. Associate – Compliance

Chicago, IL

Job Summary

Focus primarily on private equity, private debt and public securities solutions. Understanding of the investment management business. 3+ years of experience in the compliance space.

Details

A prestigious and well known Global Real Estate Investment Management firm is looking for a Sr. Compliance Associate to join its team in Chicago. A successful candidate for this role will have experience in the finance and compliance space at a financial services firm- more specifically in a private equity, venture capital, or hedge fund. This role will focus primarily on private equity, private debt and public securities solutions. If you have a passion for ethics, compliance, and integrity, don’t hesitate to apply now!

Responsibilities:

* Manage compliance testing for private real estate business
* Prepare client-mandated compliance reports/certifications and various SEC materials
* Prepare and conduct training programs
* Assist with regulatory filings, including Form ADV, Form PF, and Broker Dealer forms

Qualifications:

* Understanding of the investment management business
* Experience in financial services- private equity, venture capital, or hedge fund preferred
* Extensive knowledge/experience with SEC rules and regulations
* 3+ years of experience in the compliance space

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  • Min Experience: 3 years

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