Regulatory Compliance Specialist

2 weeks ago


Chicago, Illinois, United States Mitchell Martin Inc. Full time

Position Title: Compliance Associate (Investment Advisory & ERISA)

Location: Remote

Position 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 advisory sector, demonstrating a comprehensive understanding of ERISA regulations and the capacity to tackle intricate compliance issues.

Core Responsibilities:

  • Oversee and ensure adherence to ERISA regulations and other relevant legal frameworks.
  • Perform routine evaluations of investment advisory operations to pinpoint and alleviate compliance vulnerabilities.
  • Contribute to the formulation and execution of compliance policies and protocols.
  • Assist with internal audits and regulatory assessments.
  • Remain informed about regulatory updates and offer strategic guidance to the advisory team.

Required Qualifications:

  • Proven experience in compliance within the investment advisory domain.
  • In-depth knowledge of ERISA and associated regulations.
  • Exceptional analytical and communication abilities.
  • Capability to operate independently as well as collaboratively within cross-functional teams.
  • Compliance certification (e.g., CRCM, CCEP) is advantageous.


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