What are the responsibilities and job description for the Compliance Specialist position at LHH?
Compliance Analyst
Location: Chicago, Illinois
Compensation: $80,000 - $100,000 per year
LHH Recruitment Solutions is partnering with a respected investment management firm to identify a Compliance Analyst. This role offers exposure to investment adviser compliance, regulatory reporting, client support, and compliance operations within a collaborative and highly visible environment.
Responsibilities:
- Support compliance monitoring, testing, and regulatory reporting activities.
- Assist with maintaining compliance policies, procedures, and Code of Ethics requirements.
- Review employee trading activity, pre-clearance requests, and compliance certifications.
- Support client due diligence questionnaires, RFPs, and regulatory filings.
- Conduct regulatory research and assist with ongoing compliance initiatives and special projects.
Qualifications:
- Bachelor's degree in Finance, Business, Accounting, Economics, or a related field.
- Prior experience in compliance, risk, audit, financial services, or asset management, including internship experience.
- Strong interest in investment management and regulatory compliance.
- Excellent analytical, organizational, and communication skills.
- Exposure to SEC regulations, the Investment Advisers Act of 1940, or investment adviser compliance programs is preferred.
This position offers direct exposure to senior leadership, broad compliance responsibilities, and excellent long-term growth potential within the asset management industry.
Additional Information:
Personal Time Off (PTO) is offered on an accrual basis up to 184 hours a year, 13 Paid Holidays, and up to 6 weeks of Paid Parental Leave. PTO and holiday hours are prorated based on hire date within the calendar year.
Paid Sick Leave
Benefit offerings for full-time employment include medical, dental, vision, term life and AD&D insurance, short-term and long-term disability, additional voluntary benefits, commuter benefits, wellness plans, and a 401k plan
Annual discretionary bonus based on individual performance
Equal Opportunity Employer/Veterans/Disabled
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:
• The California Fair Chance Act
• Los Angeles City Fair Chance Ordinance
• Los Angeles County Fair Chance Ordinance for Employers
• San Francisco Fair Chance Ordinance
Salary : $80,000 - $100,000