Financial Compliance Analyst

2 weeks ago


Chicago, Illinois, United States Deerpath Capital Management Full time
Job Overview

Company Overview

Deerpath Capital is a prominent direct lending firm that specializes in offering first lien senior debt financing to middle market enterprises. The firm is dedicated to providing debt capital for acquisitions, refinancings, ownership transitions, and growth capital to companies within the U.S. lower middle market. With investment offices located in major cities and international investor relations offices, Deerpath manages approximately $7.5 billion in assets globally.

Position Summary

The Compliance Associate will play a crucial role in supporting the management of compliance programs, policies, and practices at Deerpath. Reporting to the Compliance Director, this position involves the application of compliance policies and procedures to business operations, documenting assessments, testing supervisory controls, and promoting compliance initiatives.

Key Responsibilities

  • Assist the Compliance Director in overseeing the firm's Compliance Program, which includes SEC compliance, state-specific regulations, and international compliance.
  • Review and implement the company's compliance policies as detailed in the Code of Ethics, Compliance Manual, and AML/KYC policy.
  • Develop and monitor control systems to evaluate internal policies, document findings, and suggest effective improvements.
  • Create and maintain comprehensive reports, logs, and organized documentation.
  • Participate in delivering compliance training sessions for new hires.
  • Provide compliance support to the organization and its stakeholders.
  • Contribute to the overall Compliance Program as needed.

Qualifications

  • Bachelor's degree in business, finance, accounting, statistics, economics, international relations/business, or a related field.
  • 3-5 years of experience in compliance, regulatory, or financial services roles.
  • Experience in private debt/equity, hedge funds, or registered investment advisory is advantageous.
  • Familiarity with Fund Compliance, Cybersecurity, AML/KYC, and Marketing Materials review is a plus.
  • Understanding of industry processes and existing business regulations is preferred.
  • Strong analytical and problem-solving skills.
  • Prior customer/client service experience is preferred.
  • Ability to manage multiple tasks and projects simultaneously.
  • Team-oriented with a positive attitude and goal-driven mindset.
  • Commitment to accuracy and quality in all tasks.
  • Excellent organizational and process management skills.
  • Strong research and analytical capabilities.

Deerpath Capital Management, LP is an equal opportunity employer committed to diversity and inclusion. We welcome all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status, or any other protected characteristics.



  • Chicago, Illinois, United States Illinois Housing Development Authority Full time

    Position Title: Financial AnalystDepartment: Asset ManagementThe Illinois Housing Development Authority (IHDA) is dedicated to fostering a workplace that values diversity, recognition, and inclusion. We are committed to hiring individuals from varied backgrounds to enrich our mission of financing affordable housing throughout Illinois.About Us: IHDA stands...

  • Compliance Analyst

    2 weeks ago


    Chicago, Illinois, United States Interactive Brokers Full time

    About Interactive BrokersThis is a Hybrid role (3 days in office / 2 days remote)Interactive Brokers Group has been a leader in trading innovation since its inception, recognized for our commitment to technology and excellence in the financial services sector. We continuously strive to provide our clients with an unparalleled trading platform that combines...


  • Chicago, Illinois, United States Creative Financial Staffing Full time

    Lead Financial Analyst ABOUT CREATIVE FINANCIAL STAFFINGCreative Financial Staffing is seeking a Lead Financial Analyst to join a thriving finance team. This position reports to an exceptional leader and offers significant opportunities for professional development. This role is ideal for individuals eager to contribute to a vibrant organization with a focus...


  • Chicago, Illinois, United States Bank of America Full time

    Position Overview:At Bank of America, our mission is to enhance financial well-being through every connection we foster. We prioritize Responsible Growth, ensuring we meet the needs of our clients, colleagues, communities, and shareholders consistently.Creating a supportive workplace is fundamental to our operations, and we are committed to diversity and...

  • Financial Analyst

    4 days ago


    Chicago, Illinois, United States Creative Financial Staffing Full time

    About Creative Financial StaffingWe are a leading provider of financial staffing solutions, dedicated to connecting top talent with innovative companies in the real estate industry.Job SummaryWe are seeking a highly skilled Property Accountant to join our team. As a Property Accountant, you will be responsible for providing financial expertise and support to...

  • Financial Analyst

    1 month ago


    Chicago, Illinois, United States Spectraforce Technologies Full time

    Position Title: Financial Analyst IDuration: 12 MonthsLocation/Site: North Chicago, IL 60064Description: This position will be responsible for assisting the Financial Compliance Monitoring and US Transparency Reporting department in supporting the execution of the compliance monitoring program and the accurate reporting of data for Healthcare Professionals...


  • Chicago, Illinois, United States Apex Fintech Solutions Full time

    COMPANY OVERVIEWApex Fintech Solutions (AFS) is at the forefront of digital wealth management, facilitating seamless access to financial markets through the processing of millions of transactions each day. Our comprehensive suite of fintech solutions empowers notable clients such as Stash, Betterment, SoFi, and Webull, serving over 20 million customers.AFS...

  • Financial Analyst

    1 month ago


    Chicago, Illinois, United States Spectraforce Technologies Full time

    Job Title: Financial Analyst - HYBRIDDuration: 6 Months Location: North Chicago, IL Qualifications & Requirements / Skillset:The ideal candidate should have strong analytical skills.Responsibilities include reconciling contracts through invoices.Proficiency in SAP is required.Experience with compliance-related tasks is necessary.A background in finance and...

  • Financial Analyst

    1 month ago


    Chicago, Illinois, United States Spectraforce Technologies Full time

    Job Title: Financial Analyst - HYBRIDDuration: 6 Months Location: North Chicago, IL Job Description:The Financial Analyst I will support payment processes for external consultant engagements. The role is responsible for the financial compliance reconciliation and review of payment requests as well as developing and maintaining necessary documentation...


  • Chicago, Illinois, United States Addison Group Full time

    Regulatory Compliance AnalystLocation: 100% Remote – Will be working on EST or CST time.Industry: Wealth ManagementPay: $30 - $35/hrAbout Addison Group:Addison Group is a distinguished firm in the wealth management industry, dedicated to delivering extensive investment and financial planning solutions. As they expand their workforce, they are seeking a...


  • Chicago, Illinois, United States Addison Group Full time

    Regulatory Compliance AnalystLocation: 100% Remote – Operating on EST or CST time.Industry: Wealth ManagementPay: $30 - $35/hrAbout Addison Group:Addison Group is a distinguished firm in the wealth management industry, dedicated to delivering extensive investment and financial planning solutions. As the organization expands, we are seeking a Regulatory...


  • Chicago, Illinois, United States Opportunity International Full time

    Senior Grants Accountant plays a vital role at Opportunity International, ensuring the effective oversight of grant and contract finances. This position encompasses financial advisory services, compliance assessment, and comprehensive reporting to diverse stakeholders. Key responsibilities include:Financial oversight and managementDetailed reporting and...


  • Chicago, Illinois, United States Advantage Sales and Marketing, LLC Full time

    Compensation: USD $75,600.00/Yr. to USD $84,000.00/Yr. Senior Financial Analyst The Senior Financial Analyst plays a crucial role in the coordination, planning, and execution of monthly forecasts, financial reporting, annual budgeting, and business case modeling for Advantage Sales and Marketing, LLC.This position is responsible for structuring and...


  • Chicago, Illinois, United States Discover Financial Services, Inc. Full time

    Join Our Team:At Discover Financial Services, Inc., you will engage in impactful work from the outset. Our inclusive environment is founded on three key principles: We Play to Win, We Get Better Every Day, and We Succeed Together.We are committed to your growth and the positive impact you can make within one of the leading digital banking and payments...


  • Chicago, Illinois, United States Discover Financial Services, Inc. Full time

    Job SummaryWe are seeking a highly skilled Senior Financial Analyst to join our team at Discover Financial Services, Inc. As a key member of our Finance & Corporate Services department, you will play a critical role in providing financial and business analysis support to enhance decision making.Key ResponsibilitiesFinancial Analysis and PlanningDevelop and...


  • Chicago, Illinois, United States G-PAC Full time

    Investment Analyst PositionG-PAC, a prominent player in the financial services sector, is on the lookout for a proficient Investment Analyst to enhance our committed team. The successful candidate will engage in the evaluation of diverse financial instruments such as equities, fixed income, foreign exchange, and commodities, with an emphasis on minimizing...


  • Chicago, Illinois, United States COMMUNITY HEALTH PARTNERSHIP OF ILLINOIS Full time

    Position OverviewThe Community Health Partnership of Illinois is a dedicated non-profit entity focused on delivering essential health services to migrant farmworkers and other underserved communities across northern and central Illinois. Our mission emphasizes the provision of quality, culturally attuned health care, including medical, dental, and behavioral...


  • Chicago, Illinois, United States Illinois Housing Development Authority Full time

    Position Title: Financial AnalystDepartment: Asset ManagementThe Illinois Housing Development Authority (IHDA) is dedicated to fostering a workplace that values diversity, recognition, and inclusion. We are committed to hiring individuals from various backgrounds to enrich our mission of financing affordable housing throughout Illinois.About Us: IHDA stands...


  • Chicago, Illinois, United States Ocean State Job Lot Full time

    About the RoleWe are seeking a highly skilled Senior Financial Analyst to join our team at Ocean State Job Lot. As a Senior Financial Analyst, you will play a critical role in providing financial insights and strategic planning to support the company's growth and success.Key ResponsibilitiesConduct complex financial and operational analyses to identify...

  • Financial Analyst

    1 month ago


    Chicago, Illinois, United States Orion Group Full time

    Financial Analyst (Accounts Payable Specialist) 6 months Hybrid: Tue, Wed, Thurs in the office 8am-4:30pmNorth Chicago $30/HR Orion Group is hiring a Accounts Payable Specialist to support payment processes for external consultant engagements. The Accounts Payable Specialist will also be responsible for reconciling financial compliance and reviewing payment...