Compliance Associate

This role supports a broad range of compliance functions, including compliance testing and monitoring, trade surveillance investigations, Code of Ethics and personal trading oversight, AML/KYC reviews, and SEC/RIA regulatory compliance. The position also involves preparing regulatory filings and documentation while partnering with business stakeholders to ensure adherence to regulatory requirements and internal policies.

Client Details

Our client is a global asset servicing and compliance solutions provider that supports investment managers, financial institutions, and corporations with fund administration, regulatory compliance, governance, and corporate services

Description

• Conduct compliance testing and monitoring activities
• Support trade surveillance reviews and investigations
• Administer and oversee Code of Ethics and personal trading programs
• Assist with AML/KYC screening processes and compliance reviews
• Support SEC and RIA regulatory compliance requirements
• Prepare and maintain regulatory filings and documentation
• Partner with business stakeholders to ensure adherence to regulatory obligations and internal policies

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

Profile

A successful Compliance Associate should have:

• Experience within investment management, asset management, hedge funds, private equity, alternative investments, or a registered investment adviser (RIA) environment
• Broad compliance generalist background with exposure to multiple areas of compliance
• Knowledge of SEC and RIA regulatory requirements
• Experience in compliance testing, monitoring, employee trading reviews, AML/KYC, and regulatory filings preferred
• Strong analytical, communication, and problem-solving skills

Job Offer

• Competitive hourly pay of $50 to $60 USD.
• Opportunity to gain experience in the financial services industry.
• Temporary role offering flexibility in Chicago.

Interested? Apply today.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.