Senior Compliance Analyst

11 hours ago

Chicago IL United States Driehaus Capital Management LLC Full time

Driehaus Capital Management LLC is a privately held investment management firm that manages global, emerging markets, US growth equity and alternative investment strategies. The firm has a diverse institutional client base comprised of corporate and public pensions, endowments, foundations, sub-advisory, family offices, wealth managers and financial advisors, globally.

We are seeking a Senior Compliance Analyst who will be responsible for assisting the Chief Compliance Officer in carrying out compliance activities for the investment adviser, broker dealer and mutual funds. The Senior Compliance Analyst analyzes and reports on compliance with policies and procedures of the Firm and guidelines and restrictions of the Firm’s clients.

Principal Duties and Responsibilities
  • Conducts daily, periodic and special compliance reviews involving the analysis of relevant documents, utilization of software tools, and inquiries of knowledgeable personnel.
  • Monitors and evaluates compliance with investment guidelines and restrictions for mutual funds and individual client accounts.
  • Reviews, documents, and maintains accurate, complete, and organized records substantiating all compliance research.
  • Interprets and enforces the Firm’s policies by monitoring and maintaining trade information to determine the presence of any conflicts of interest.
  • Performs surveillance of the Firm’s activities and recommends enhancements to surveillance processes to the CCO.
  • Presents timely reports (orally and/or in writing) detailing compliance research findings and conclusions and making appropriate recommendations for further action.
  • Works with and acts as a liaison between departments to ensure functions are performed in accordance with compliance policies and relevant regulations.
  • Proactively assists in the identification and mitigation of industry-wide and Firm-specific risks.
  • Coordinates the analysis, design and practical implementation of controls into the Firm’s policies and procedures in response to current and proposed securities rules and regulations as well as evolving business needs.
Knowledge, Skills, and Experience
  • Undergraduate degree and 5+ years of relevant experience in the securities industry. Auditing and/or accounting background is preferred.
  • Licensing: Series #7 and #24 (must obtain within one year of employment).
  • Strong knowledge of mutual fund, investment adviser and broker dealer regulations.
  • Strong technical knowledge and excellent writing skills.
  • Team player and collaborator with strong attention to detail and excellent communication skills.
  • High impact individual who can think independently and make decisions quickly.

Driehaus Capital Management LLC is committed to an inclusive work environment and provides equal employment opportunities to all employees and applicants without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state, or local laws.

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