Compliance Associate
3 months ago
POSITION OVERVIEW
Based in our Chicago headquarters or one of our branch locations (Southfield, MI; Northbrook, IL; Greenwich, CT; Scottsdale, AZ; Denver, CO; Orange County, CA), the Compliance Associate will partner with the Chief Compliance Officer in meeting the regulatory requirements required by the Firm. This will include working on projects and tasks individually, with the CCO and with other Kovitz departments or external partners.
This role is an excellent opportunity for a junior individual seeking to learn and grow in a compliance role with Kovitz.
Successful characteristics include superior communication skills, collaboration, and an elevated level of professionalism.
PRIMARY RESPONSIBILITIES
The individual will be involved in various compliance tasks, including but not limited to:
- Assist in maintaining the firm’s compliance program by executing various tasks on a daily, monthly, quarterly and annual basis
- Point of contact for internal and external individuals on compliance questions and requests
- Assist with annual compliance review and other periodic compliance reviews
- Oversight of our 3rd party compliance consultant
- Investment Advisory Agreement review and signoff – Electronic consent CRM updates
- Assist with tasks related to compliance for onboarding and offboarding employees
- Oversight and main administrator of our Code of Ethics Compliance system
- Coordinating and preparing responses and filings related to our registered investment companies and private funds
- Oversight of our Anti-Money Laundering program
- Oversight of Vendor Management Program
- Regulatory filings – IARD, Form PF, 13F, etc.
- Monitoring of Gifts and Entertainment
- Assist with Risk Management Program
PREFERRED SKILLS & EXPERIENCE
- Bachelor’s degree
- 2+ years of compliance experience for a financial services company (registered investment adviser, broker-dealer, etc.)
- Basic understanding of requirements of the Securities and Exchange Commission and applicable rules that apply to Kovitz (Investment Advisers Act of 1940, Securities Exchange Act of 1934 and/or Securities Act of 1933)
- Detail oriented and organized with strong analytical and problem-solving skills
- Ability to interchangeably collaborate and work independently
- Impeccable attention to detail
- Positive attitude and teamwork oriented
- Self-motivated, proactive and able to manage multiple priorities
-
UST and AST Compliance Officer
7 days ago
Chicago, Illinois, United States 7G Environmental Compliance Management Full timeKey ResponsibilitiesThe successful candidate will:Conduct comprehensive inspections of petroleum storage tank systems and associated facilities.Ensure compliance with state and federal regulations, including UST and AST guidelines.Gather and compile information into software platforms for analysis and reporting.Work independently and as part of a team to...
-
Compliance Associate
7 hours ago
Chicago, United States Kovitz Full timePOSITION OVERVIEW Based in our Chicago headquarters or one of our branch locations (Southfield, MI; Northbrook, IL; Greenwich, CT; Scottsdale, AZ; Denver, CO; Orange County, CA), the Compliance Associate will partner with the Chief Compliance Officer in meeting the regulatory requirements required by the Firm. This will include working on projects and tasks...
-
Bookkeeping and Compliance Associate
7 days ago
Chicago, Illinois, United States RF RENOVO MANAGEMENT COMPANY LLC Full timeRenovo Financial Job DescriptionWe are seeking a skilled Accounting Associate to support our financial and operational teams. As an Accounting Associate, you will play a critical role in maintaining accurate financial records, preparing financial reports, and ensuring compliance with relevant regulations.Responsibilities:Record and reconcile daily cash...
-
Administrative Compliance Associate
5 days ago
Chicago, Illinois, United States Addison Group Full timeKey ResponsibilitiesSupport compliance unit functions, including audits, data discrepancies, and personnel record maintenance.Submit and follow up on background clearance forms with regulatory agencies.Maintain updated knowledge of compliance standards and regulations.Manage personnel records, including storage, retrieval, and filing.Generate compliance...
-
Associate, Compliance Testing
1 month ago
Chicago, United States Avant Full timeAvant is adding to our team in Chicago! We are looking for an entrepreneurial, self-driven candidate who is passionate about compliance and interested in making a difference. You will be primarily responsible for conducting second line regulatory compliance monitoring and testing, supporting regulatory risk assessments, and supporting regulatory compliance...
-
Compliance Officer
2 weeks ago
Chicago, Illinois, United States Waystone Governance Ltd. Full timeJob OverviewWaystone Governance Ltd. is a leading provider of specialist services for the asset management industry.We partner with institutional investors, investment funds, and asset managers to build, support, and protect investment structures and strategies worldwide.Our team is seeking an experienced Associate Director to join our compliance department.
-
Compliance Coordinator
4 days ago
Chicago, United States Addison Group Full timeJob Title: Compliance CoordinatorLocation: Chicago, ILIndustry: Non-profitPay: $25.00 - $28.00 per hourAbout Our ClientAddison Group is hiring a Compliance Coordinator for our client, a leading organization dedicated to supporting diverse communities through compliance and administrative excellence. This is a contract role with a minimum duration of two...
-
Compliance Associate, Marketing Review
1 month ago
Chicago, United States Corient Private Wealth LLC Full timeJoin a team that values your ambition and empowers your growth At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and communities they care about. We focus on exceeding expectations, simplifying lives, and...
-
Regulatory Compliance Specialist
4 weeks ago
Chicago, Illinois, United States Daubert Chemical Co. Inc. Full timeJob OverviewDaubert Chemical Co. Inc. is a reputable specialty chemical manufacturer seeking a skilled Regulatory Compliance Analyst to ensure compliance with global regulations.Estimated Salary$75,000 - $100,000 per yearResponsibilitiesThe ideal candidate will possess strong analytical and critical thinking skills to guarantee that all chemicals used by the...
-
Energy Compliance Expert
5 days ago
Chicago, Illinois, United States Jupiter Power Full timeJob OverviewJupiter Power, a national leader in energy storage deployment, seeks a skilled Senior Analyst to support its growing operating fleet and ensure compliance with electricity regulatory requirements. The role is based out of our Austin, TX, Houston, TX, or Chicago, IL offices.">ResponsibilitiesDevelop and maintain processes, procedures, and internal...
-
Cybersecurity and Compliance Attorney
2 weeks ago
Chicago, Illinois, United States Chicago Legal Search, Ltd. Full timeJob SummaryWe are looking for a highly skilled Cybersecurity and Compliance Attorney to join our team. The successful candidate will have experience in technology transactions, cybersecurity risk management, and compliance counseling.About the FirmOur firm is a top AM 100 law firm with global reach. We provide expert legal services to clients across various...
-
Cybersecurity Compliance Professional
7 days ago
Chicago, Illinois, United States Chicago Legal Search, Ltd. Full timeAbout the RoleWe are seeking a highly experienced Cybersecurity Compliance Professional to join our team. The ideal candidate will have 3-5 years of experience in data security, cybersecurity, and data breach response, as well as experience counseling clients on IT, technology, privacy, and compliance issues.Key Responsibilities:Handle technology...
-
Director of Sustainability and Compliance
4 days ago
Chicago, Illinois, United States Depot Connect International Full timeAbout the RoleAs the Director, Environmental Waste at Depot Connect International, you will play a critical role in supporting all our lines of businesses by managing their hazardous and non-hazardous waste programs & projects while complying with state & federal regulations.This EHS Leadership role requires an individual with exceptional communication...
-
Compliance Ethics Specialist
4 weeks ago
Chicago, Illinois, United States Gensler Full timeAbout the RoleWe are seeking a highly skilled Compliance Counsel to join our Legal Studio at Gensler. The successful candidate will report to the Director of Global Compliance and be responsible for conducting workplace investigations, advising on employee relations/performance issues, and supporting the development and implementation of effective compliance...
-
Safety and Compliance Specialist
5 days ago
Chicago, Illinois, United States Sterling Engineering Inc. Full timeSterling Engineering Inc. is seeking an experienced Safety and Compliance Specialist to join our team. This key role will be responsible for managing and maintaining the company's ISO 14001, 45001, and 50001 Management Systems across multiple facilities.Responsibilities:Develop and implement risk management strategies to ensure compliance with global...
-
Compliance Director
4 weeks ago
West Chicago, Illinois, United States Midwest Salt Full timeJob Title: Compliance DirectorAbout the Role:Midwest Salt is seeking a highly skilled Compliance Director to ensure that all business operations are conducted legally and ethically. This key role will safeguard the company from legal risks while maintaining operational excellence.Main Responsibilities:Develop and Implement Compliance Policies: Create,...
-
Compliance Officer
1 month ago
West Chicago, Illinois, United States Midwest Salt Full timeMidwest Salt, a leading provider of top-quality salt solutions, is seeking a highly skilled Regulatory Compliance Specialist to join its dynamic team. With a strong commitment to excellence and customer satisfaction, we strive to deliver innovative products and services that meet the evolving needs of our clients.About Us:We're a trusted partner in the...
-
Chicago, Illinois, United States CRAIG SHAFFER & ASSOCIATES Full timeJob SummaryJob Title: Accounting Specialist with Government ComplianceAbout the RoleWe are looking for an experienced Accounting Specialist with expertise in government compliance, including tax laws and regulations.Main ResponsibilitiesEnsure accurate and timely completion of tax returns and other financial documentsMaintain accurate records and perform...
-
Chief Compliance Officer
4 weeks ago
Chicago, Illinois, United States ANSYS Full timeAbout AnsysAt Ansys, we empower innovators to push the boundaries of what's possible. As a leading provider of engineering simulation software, we help customers bring their ideas to life and create innovative products that transform industries.We're driven by a passion for innovation, a commitment to excellence, and a desire to make a meaningful impact on...
-
Director, Credit
1 month ago
Chicago, United States Enterprise Community Partners Full timeWorking at Enterprise At Enterprise, you'll be part of a diverse, committed team making a difference every day. You will collaborate with some of the smartest minds and biggest hearts in our field. You'll be empowered to drive systems change and take bold steps to advance racial equity. And you will find a career home where you're valued and supported in...