Compliance Associate - Chicago

Other Jobs To Apply

No other job posts for this day.

<p><strong>Compliance Associate - Chicago </strong></p><p><strong>'40 Act Compliance Experience Required</strong></p><p><br></p><p><strong>RESPONSIBILITIES</strong></p><p><br></p><p>• Assisting with RIC regulatory filings (including Forms 3/4/5, N-2, N-CSR, N-CEN, N-PX, SC TO-I, and 40-17G).</p><p>• Preparing tender offer documents.</p><p>• Assisting with the annual update of the Funds’ Registration Statements.</p><p>• Preparing board meeting materials and organizing board meeting logistics.</p><p>• Collaborating with internal teams to draft the response for the 15(c) request letter.</p><p>• Assisting the Funds’ CCO in conducting the 38a-1 Annual Review.</p><p>• Preparing applications for the fidelity bond and D&O/E&O insurance policy.</p><p>• Coordinating completion of D&O questionnaires.</p><p>• Conducting monthly, quarterly, and annual testing.</p><p>• Drafting policies and procedures.</p><p>• Reviewing investor subscription agreements to comply with certain requirements, including AML and KYC.</p><p>• Assisting with Federal, State, and International regulatory filings (including Form ADV, Form PF, CPO PQR/CTA PR, AIFMD Annex IV, Forms U4, U5, BD, BR, D, and DA).</p><p>• Helping maintain information barriers program, including but not limited to, restricted list maintenance, conflict reviews and approving expert networks.</p><p>• Providing compliance guidance to employees on a day-to-day basis around policies, procedures, and protocols.</p><p>• Performing electronic communications review, surveillance, other testing and helping conduct the annual review.</p><p>• Assisting the Firm and Senior Compliance Officers during audits, regulatory, or mock exams</p><p>• Analyzing new and pending laws and regulations to identify properly and expeditiously those which may impact the Firm’s business and collaborating with the Senior Compliance Officers to revise the Firm’s policies and procedures, as necessary.</p><p>• Assisting with other compliance tasks.</p><p><br></p><p><strong>EDUCATION, SKILLS AND EXPERIENCE REQUIREMENTS</strong></p><p><br></p><p>• Bachelor’s degree required. Other certifications or licenses, such as ACAMS, FINRA Securities Industry Essenitials (SIE) and Series 7 are a plus.</p><p>• 2 to 5 years of experience working in a legal or compliance related role within a financial services firm (broker-dealer, investment adviser, etc.), regulatory body (FINRA, SEC, other SRO) or at a compliance consultant or law firm dealing with broker-dealer, investment advisor, and AML matters.</p><p>• Strong written and oral communication skills.</p><p>• Understanding of regulatory and self-regulatory agencies (e.g., FINRA, SEC, CFTC, NFA, FSA) and the requirements of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933.</p><p>• Knowledge and experience with industry best practices in compliance management.</p><p>• Experience with a variety of Compliance and AML systems (e.g., RDC, Moody’s, MyComplianceOffice, Complysci, etc.) and ability to manage changing systems and systems implementation a plus.</p><p>• Strong interpersonal skills, with a strong presence and team building skills.</p><p>• Strong Microsoft Excel and PowerPoint skills.</p><p>• A reliable self-starter, with a bias for action, requiring a minimum amount of direction, yet also good instincts and judgment regarding when to involve others.</p><p>• High energy level with strong work ethic and flexibility to work long hours at times to accommodate time-sensitive deliverables (e.g., regulatory examinations, fund closes, etc.).</p><p>• Responsive to internal and external clients, including timely responses to emails.</p><p>• Outstanding organizational and time-management skills and ability to create effective processes.</p><p>• Attention to detail, strong analytical and problem-solving skills, and superior organization and project management skills.</p>

Back to blog

Common Interview Questions And Answers

1. HOW DO YOU PLAN YOUR DAY?

This is what this question poses: When do you focus and start working seriously? What are the hours you work optimally? Are you a night owl? A morning bird? Remote teams can be made up of people working on different shifts and around the world, so you won't necessarily be stuck in the 9-5 schedule if it's not for you...

2. HOW DO YOU USE THE DIFFERENT COMMUNICATION TOOLS IN DIFFERENT SITUATIONS?

When you're working on a remote team, there's no way to chat in the hallway between meetings or catch up on the latest project during an office carpool. Therefore, virtual communication will be absolutely essential to get your work done...

3. WHAT IS "WORKING REMOTE" REALLY FOR YOU?

Many people want to work remotely because of the flexibility it allows. You can work anywhere and at any time of the day...

4. WHAT DO YOU NEED IN YOUR PHYSICAL WORKSPACE TO SUCCEED IN YOUR WORK?

With this question, companies are looking to see what equipment they may need to provide you with and to verify how aware you are of what remote working could mean for you physically and logistically...

5. HOW DO YOU PROCESS INFORMATION?

Several years ago, I was working in a team to plan a big event. My supervisor made us all work as a team before the big day. One of our activities has been to find out how each of us processes information...

6. HOW DO YOU MANAGE THE CALENDAR AND THE PROGRAM? WHICH APPLICATIONS / SYSTEM DO YOU USE?

Or you may receive even more specific questions, such as: What's on your calendar? Do you plan blocks of time to do certain types of work? Do you have an open calendar that everyone can see?...

7. HOW DO YOU ORGANIZE FILES, LINKS, AND TABS ON YOUR COMPUTER?

Just like your schedule, how you track files and other information is very important. After all, everything is digital!...

8. HOW TO PRIORITIZE WORK?

The day I watched Marie Forleo's film separating the important from the urgent, my life changed. Not all remote jobs start fast, but most of them are...

9. HOW DO YOU PREPARE FOR A MEETING AND PREPARE A MEETING? WHAT DO YOU SEE HAPPENING DURING THE MEETING?

Just as communication is essential when working remotely, so is organization. Because you won't have those opportunities in the elevator or a casual conversation in the lunchroom, you should take advantage of the little time you have in a video or phone conference...

10. HOW DO YOU USE TECHNOLOGY ON A DAILY BASIS, IN YOUR WORK AND FOR YOUR PLEASURE?

This is a great question because it shows your comfort level with technology, which is very important for a remote worker because you will be working with technology over time...