Senior Compliance Associate

3 weeks ago


Chicago, United States CareerBuilder Full time

Description
About the Company:
Monroe Capital is a private credit asset management firm specializing in direct lending and opportunistic private credit investing. Since 2004, the firm has provided private credit solutions to borrowers in the U.S. and Canada. Monroes middle market lending platform provides senior and junior debt financing to businesses, special situation borrowers, and private equity sponsors. Investment types include unitranche financings; cash flow, asset based and enterprise value based loans; and equity co-investments. Monroe is committed to being a value-added and user-friendly partner to business owners, senior management, and private equity and independent sponsors.
Job Summary:
Monroe Capital is seeking an energetic person with strong written and oral communication skills, data computation skills, strong interpersonal skills and analytic ability to join Monroe Capital as we continue to grow and expand our business. This is a fantastic opportunity to grow your responsibilities and career with Monroe Capital. All activities of the role will primarily support management of Monroes capital raising and investor service efforts.
Primary Job Responsibilities:
Support front, middle and back office personnel on a wide variety of regulatory and contractual compliance issues primarily in compliance with the Investment Advisers Act of 1940
Maintain policies and procedures in accordance with the Investment Advisers Act of 1940 and other applicable regulations
Maintain a compliance monitoring program (including personal trading, email review, expert networks)
Assist with completing applicable regulatory filings
Assist with reviewing marketing materials
Disclaimer
The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified. All personnel may be required to perform duties outside of their normal responsibilities from time to time, as needed.
Requirements
Bachelors Degree
4+ years of relevant experience
Preferred Skills/Experience:
Well-organized self-starter with high energy, creativity and thoughtfulness
Excellent interpersonal, verbal and written communication skills
Strong analytical skills
Ability to manage multiple tasks, projects and deadlines well
Strong desire to succeed and be entrepreneurial
Ability to work within a team

#J-18808-Ljbffr


  • Senior Associate

    1 month ago


    Chicago, United States Waystone Governance Ltd. Full time

    Job DescriptionJob DescriptionSalary: For over 20 years, Waystone has been at the cutting edge of specialist services for the asset management industry – partnering with institutional investors, investment funds and asset managers.  We work with our clients to help build, support, and protect investment structures and strategies worldwide. Our success...


  • Chicago, United States Monroe Capital Corporation Full time

    Description About the Company: Monroe Capital is a private credit asset management firm specializing in direct lending and opportunistic private credit investing. Since 2004, the firm has provided private credit solutions to borrowers in the U.S. and Canada. Monroe’s middle market lending platform provides senior and junior debt financing to businesses,...


  • Chicago, United States Bank of Montreal Full time

    Application Deadline:05/16/2024 Address:320 S Canal Street. Job Family Group:Audit, Risk & Compliance. The U.S. Compliance Program Management Team (CPM) is a central compliance governance function that establishes, implements, and administers framewo Compliance, Compliance Officer, Officer, Program, Management, Senior, Banking, Business Services


  • Chicago, United States Calamos Asset Management Full time

    Summary: The Compliance Associate is responsible for a variety of tasks in support of the Compliance Department's general operations. This position oversees employee affirmations and questionnaires, FINRA registrations, as well as a variety of ad-hoc assignments and projects. Primary Responsibilities: * Serves as a point person for new hire onboarding...


  • Chicago, United States #TeamGoHealth Full time

    Senior Analyst, Governance Risk and Compliance GoHealth Intro: As a leading health insurance marketplace, Go Health’s mission is to improve access to healthcare in America. For customers, enrolling in a health insurance plan is confusing and difficult, and seemingly small differences between plans can lead to significant out-of-pocket costs or lack of...


  • Chicago, United States #TeamGoHealth Full time

    Senior Analyst, Governance Risk and Compliance GoHealth Intro: As a leading health insurance marketplace, Go Health’s mission is to improve access to healthcare in America. For customers, enrolling in a health insurance plan is confusing and difficult, and seemingly small differences between plans can lead to significant out-of-pocket costs or lack of...


  • Chicago, United States Chicago State University Full time

    Posting Number S24122PTitle Associate Athletic Director for ComplianceWorking Title Associate Athletic Director for ComplianceSalary Range $70,000Employee Class AdministratorDepartment AthleticsFull-time/ Part-time Full-timeSpecializationHours Per Week 40+Standard Work Week Monday-FridayJob SummaryThe Associate Director of Athletics for Compliance is...


  • Chicago, Illinois, United States Chicago State University Full time

    Posting Number S24122PTitle Associate Athletic Director for ComplianceWorking Title Associate Athletic Director for ComplianceSalary Range $70,000Employee Class AdministratorDepartment AthleticsFull-time/ Part-time Full-timeSpecializationHours Per Week 40+Standard Work Week Monday-FridayJob SummaryThe Associate Director of Athletics for Compliance is...


  • Chicago, United States Waystone Governance Ltd. Full time

    Job Description Job Description Salary: For over 20 years, Waystone has been at the cutting edge of specialist services for the asset management industry – partnering with institutional investors, investment funds and asset managers. We work with our clients to help build, support, and protect investment structures and strategies worldwide. Our success...


  • Chicago, Illinois, United States GoHealth Full time

    GoHealth Intro: As a leading health insurance marketplace, Go Health's mission is to improve access to healthcare in America. For customers, enrolling in a health insurance plan is confusing and difficult, and seemingly small differences between plans can lead to significant out-of-pocket costs or lack of access to critical medicines and even providers. We...


  • Chicago, United States Robert Half Full time

    Compliance and Regulatory Legal Associate needed for a growing private equity company that manages over $30B in capital. The company has experienced unprecedented growth and is expanding its compliance program.The Compliance and Regulatory Legal Associate will work closely with the legal and compliance team and have responsibility for:Supporting Chief Legal...


  • Chicago, United States Robert Half Full time

    Compliance and Regulatory Legal Associate needed for a growing private equity company that manages over $30B in capital. The company has experienced unprecedented growth and is expanding its compliance program.The Compliance and Regulatory Legal Associate will work closely with the legal and compliance team and have responsibility for:Supporting Chief Legal...


  • Chicago, United States Robert Half Full time

    Compliance and Regulatory Legal Associate needed for a growing private equity company that manages over $30B in capital. The company has experienced unprecedented growth and is expanding its compliance program.The Compliance and Regulatory Legal Associate will work closely with the legal and compliance team and have responsibility for:Supporting Chief Legal...


  • Chicago, United States CNA Financial Corp. Full time

    You have a clear vision of where your career can go. And we have the leadership to help you get there. At CNA, we strive to create a culture in which people know they matter and are part of something important, ensuring the abilities of all employees are used to their fullest potential. CNA seeks to offer a comprehensive and competitive benefits package to...


  • Chicago, United States LHH Full time

    Senior Governance, Risk, and Compliance AnalystLHH is seeking a Senior Governance, Risk, and Compliance Analyst for a Hybrid role at a client in Chicago, IL.This individual will play a crucial role in establishing, enhancing, and executing third-party risk management initiatives.Additionally, responsibilities will include conducting security training and...


  • Chicago, United States LHH Full time

    Senior Governance, Risk, and Compliance AnalystLHH is seeking a Senior Governance, Risk, and Compliance Analyst for a Hybrid role at a client in Chicago, IL.This individual will play a crucial role in establishing, enhancing, and executing third-party risk management initiatives.Additionally, responsibilities will include conducting security training and...


  • Chicago, United States LHH Full time

    Senior Governance, Risk, and Compliance AnalystLHH is seeking a Senior Governance, Risk, and Compliance Analyst for a Hybrid role at a client in Chicago, IL.This individual will play a crucial role in establishing, enhancing, and executing third-party risk management initiatives.Additionally, responsibilities will include conducting security training and...


  • Chicago, United States Stealth Recruiting Services Full time

    Job DescriptionJob Description95k to 110k Job DescriptionThe Senior Compliance Auditor has the primary responsibility to conduct global sales and marketing compliance audits for the US operating divisions and international affiliates.Scope may include but not limited to compliance audits in the following broadly described areas:Research FundingNo-Charge...

  • Senior PM

    15 hours ago


    Chicago, United States Monday Full time

    monday.com is a Work OS that lets organizations manage all their work in one place. And like our platform, we are committed to building an organization with one shared mission. We believe that the most effective teams are built on skills and passion, which is why in our recruitment process, in addition to learning about your background and experience, we...


  • Chicago, United States GoHealth Full time

    GoHealth Intro: As a leading health insurance marketplace, Go Health’s mission is to improve access to healthcare in America. For customers, enrolling in a health insurance plan is confusing and difficult, and seemingly small differences between plans can lead to significant out-of-pocket costs or lack of access to critical medicines and even providers. We...