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Regulatory Compliance Specialist

2 months ago

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

Job Title: Compliance Associate (Investment Advisory & ERISA)

Location: Remote

Job 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 robust comprehension of ERISA regulations and the capability to address intricate compliance issues.

Key Responsibilities:

  • Oversee and guarantee compliance with ERISA regulations and other relevant legal frameworks.
  • Perform regular assessments of investment advisory operations to pinpoint and alleviate compliance risks.
  • Assist in crafting and executing compliance policies and procedures.
  • Facilitate internal audits and regulatory assessments.
  • Remain informed about regulatory updates and offer counsel to the advisory team.

Qualifications:

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