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Associate, Compliance

3 months ago

Chicago, United States Cresset Full time

About Cresset

Cresset is an award-winning, independent, multi-family office, and private investment firm. Cresset was founded with a vision to reinvent the way people experience wealth by providing access to the talent, ideas, and investment opportunities available to the largest single-family offices and endowments. We offer individuals and families a comprehensive suite of family office services, deeply personalized wealth management, investment advisory, planning, and other services through Cresset Asset Management, an SEC-registered investment advisor that has surpassed $50 billion in assets under management.


Since Cresset’s inception in 2017, the firm now has offices across the country and is headquartered in Chicago. The firm is recognized for its excellence and is frequently ranked as a Barron’s and Forbes top advisor.


Job Description

Based in Cresset’s Chicago headquarters with remote potential, the Compliance Associate will help support the ongoing efforts of Compliance with a primary focus on core Compliance responsibilities. Additionally, this person will assist in ad-hoc Compliance projects.


This is a great opportunity for a person with some experience at an RIA, a securities regulator, or a person looking for a new position with this type of career path in mind. The Candidate should be a proactive, resourceful, self-starter with a roll-up-your-sleeves mentality, is extremely organized, detail-oriented, and precise, all while remaining flexible to changing priorities.


Key Responsibilities

  • Be an integral part of the compliance team and assist in the various aspects of our compliance programs.
  • Ensure all mandatory affirmations and trainings are completed.
  • Vendor liaison for Compliance applications, perform system administration, maintenance, and data entry.
  • Maintain books and records, compliance calendar, files, and file structures.
  • Perform employee email, text, social media, and other communication reviews.
  • Assist with compliance intranet design and maintenance, policy updates, firm-wide compliance communications, and training & education.
  • Special projects.


Qualifications

  • Bachelor's graduate
  • Experience in financial services or with a regulatory organization
  • Experience with a registered investment advisor or broker-dealer
  • Experience in a compliance capacity
  • Exceptional organization and planning skills with ability to multi-task
  • Attention to detail and follow-through
  • Versatile, flexible, and a willingness to work with changing priorities
  • Strong communication, written, verbal and listening skills
  • Proficiency with Microsoft Office Suite (Word, Excel, and PowerPoint) and Microsoft Outlook



What We Offer

Cresset offers a competitive compensation package including a discretionary bonus program and a benefits package to all full-time employees including medical, dental, vision, life insurance, 401(k) retirement plan, health savings accounts, short and long-term disability insurance, voluntary critical and accident insurance, and pre-tax parking and transportation programs. Aligning employee and organizational interests, all employees receive equity in Cresset.


EQUAL EMPLOYMENT OPPORTUNITY

It is the policy of Cresset to ensure equal employment opportunity (EEO) for all employees and applicants for employment without regard to race, color, religion, sex, pregnancy (including childbirth, lactation, or related conditions), national origin or ancestry, age, disability, veteran status, uniformed servicemember status, sexual orientation, gender identity, status as a parent, genetic information (including testing and characteristics), or any other characteristic protected by applicable federal, state, or local law. It is Cresset’s policy to comply with applicable laws concerning the employment of persons with disabilities, including reasonable accommodation for applicants and employees with disabilities.