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Compliance Associate
3 weeks ago
Chicago, United States Mitchell Martin Inc. Full timeJob Title: Compliance Associate (Investment Advisory & ERISA)Location: Chicago, IL or Petersburg, FLJob Description:We are seeking a detail-oriented Compliance Associate to support our investment advisory team, ensuring compliance with regulatory requirements, including ERISA guidelines. The ideal candidate will have experience in the investment advisory...
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Compliance Associate
3 weeks ago
Chicago, United States Mitchell Martin Inc. Full timeJob Title: Compliance Associate (Investment Advisory & ERISA)Location: Chicago, IL or Petersburg, FLJob Description:We are seeking a detail-oriented Compliance Associate to support our investment advisory team, ensuring compliance with regulatory requirements, including ERISA guidelines. The ideal candidate will have experience in the investment advisory...
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Compliance Associate
2 months ago
Chicago, United States Deerpath Capital Full timeCompany DescriptionDeerpath Capital is a leading direct lending firm specializing in providing first lien senior debt financing to middle market companies. Deerpath is focused on providing debt capital for acquisitions, refinancings, ownership transitions and growth capital to companies in the U.S. lower middle market. Deerpath has investment offices in New...
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Compliance Associate
2 months ago
Chicago, United States Deerpath Capital Management Full timeJob DescriptionJob DescriptionCompany DescriptionDeerpath Capital is a leading direct lending firm specializing in providing first lien senior debt financing to middle market companies. Deerpath is focused on providing debt capital for acquisitions, refinancings, ownership transitions and growth capital to companies in the U.S. lower middle market. Deerpath...
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Associate, Compliance
1 month ago
Chicago, United States Cresset Full timeAbout CressetCresset 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...
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Associate, Compliance
1 month ago
Chicago, United States Cresset Full timeAbout CressetCresset 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...
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Associate, Compliance
1 month ago
Chicago, United States Cresset Full timeAbout CressetCresset 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...
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Associate, NERC Regulatory Compliance
1 month ago
Chicago, Illinois, United States Invenergy Full timeInvenergy drives innovation in energy. Powered by decades of entrepreneurial experience and unparalleled execution, we solve the energy challenges facing our customers and communities. We provide power generation and storage solutions at scale around the world to create a cleaner energy future. We develop. We build. We own. We operate. We are Invenergy.Job...
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Regulatory Compliance Senior Associate
3 days ago
Chicago, Illinois, United States RSM Full timeAbout Us At RSM, we are recognized as the premier provider of professional services to the middle market worldwide. Our mission is to instill confidence amidst change, enabling our clients and team members to achieve their fullest potential. Our remarkable workforce is the cornerstone of our inclusive culture and exceptional talent experience, making us...
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Compliance Testing Associate
2 months ago
Chicago, United States Avant Full timeDo you have experience working in regulatory compliance and want to help build compliant products at a FinTech company?Avant 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...
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Regulatory Compliance Specialist
2 days ago
Chicago, Illinois, United States Mitchell Martin Inc. Full timeJob Title: Compliance Associate (Investment Advisory & ERISA)Location: RemoteJob Overview:We are looking for a meticulous Compliance Associate to bolster our investment advisory division, ensuring adherence to regulatory standards, particularly those outlined by ERISA. The successful candidate will possess a background in investment advisory, coupled with a...
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Regulatory Compliance Specialist
3 days ago
Chicago, Illinois, United States Mitchell Martin Inc. Full timePosition Title: Compliance Associate (Investment Advisory & ERISA)Location: RemotePosition Overview:We are looking for a meticulous Compliance Associate to assist our investment advisory division in maintaining adherence to regulatory standards, particularly those outlined by ERISA. The successful candidate will possess a robust background in the investment...
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Senior Associate, Compliance Monitoring
3 weeks ago
Chicago, Illinois, United States OCC Full timeThis position is not eligible for current or future Sponsorship.What You'll Do:This role will report to the Manager, Compliance Monitoring and will provide technical solutions for the programs that oversee compliance with OCC's regulatory and internal control environment. This includes, but is not limited to, facilitating the automation of the organization's...
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Chicago, United States Northwestern Memorial Healthcare Full timeJob Description The Associate General Counsel reflects the mission, vision, and values of NM, adheres to the organization’s Code of Ethics and Corporate Compliance Program, and complies with all relevant policies, procedures, guidelines and all other regulatory and accreditation standards. Responsibilities: Provide legal representation to NMHC in...
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Compliance Officer
1 month ago
Chicago, United States Intelliswift Software Full timeJob Title: Compliance OfficerLocation: Chicago, IL (Hybrid)Duration: 4 monthsContract Type: W2 onlyPay Rate Range: $36.00 - $41.00/HourRole Responsibilities:Registering all individuals for current client roles in according with FINRA.Monitor and ensure items such as registrations, licenses, exams, study orders, continuing education requirements are all...
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Compliance Officer
1 month ago
Chicago, United States Intelliswift Software Full timeJob Title: Compliance OfficerLocation: Chicago, IL (Hybrid)Duration: 4 monthsContract Type: W2 onlyPay Rate Range: $36.00 - $41.00/HourRole Responsibilities:Registering all individuals for current client roles in according with FINRA.Monitor and ensure items such as registrations, licenses, exams, study orders, continuing education requirements are all...
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Compliance Associate II, Privacy, Full Time, Days
2 months ago
Chicago, United States Northwestern Memorial Healthcare Full timeJob DescriptionJob DescriptionCompany DescriptionAt Northwestern Medicine, every patient interaction makes a difference in cultivating a positive workplace. This patient-first approach is what sets us apart as a leader in the healthcare industry. As an integral part of our team, you'll have the opportunity to join our quest for better healthcare, no...
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Regulatory Compliance Specialist
2 days ago
Chicago, Illinois, United States Mitchell Martin Inc. Full timeJob Title: Compliance Advisor (Investment Advisory & ERISA, RIA)Location: Chicago, IL or Petersburg, FLPosition Overview:We are looking for a meticulous Compliance Advisor to assist our investment advisory division in maintaining adherence to regulatory standards, particularly those set forth by the SEC and ERISA. The successful candidate will possess a...
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Chicago, United States JPMorganChase Full timeJob Description Job DescriptionAs a team member within Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help us grow our business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and...
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Chicago, Illinois, United States JPMorganChase Full timeJob Description Job DescriptionAs a team member within Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help us grow our business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and...
Associate, Compliance
3 months ago
**About Cresset**
Private equity entrepreneurs Eric Becker and Avy Stein founded Cresset Capital Management with a vision to reinvent wealth management and with a firm belief that clients deserve better. Cresset offers individuals and families access to 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, with $40 billion in assets under management. Cresset Partners, our private investing group offers clients direct access to real estate, private equity, and other investment opportunities. Since Cresset’s inception in 2017, the firm has grown to more than 450 team members in more than twenty offices throughout the United States.
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.
**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.
- Maintain books and records, compliance calendar, files, and file structures.
- Assist with compliance intranet design and maintenance, policy updates, firm-wide compliance communications, and training & education.
- Special projects.
**Qualifications**
- Bachelor's degree
- 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.
