Previous Job
Compliance Officer
Ref No.: 18-03130
Location: Chicago, Illinois
Position Type:Full Time
Pay Rate : $ 125,000.00 - 130,000.00 /Year
Our client is seeking a Compliance Manager for its Chicago office. The successful candidate will oversee the day-to-day compliance functions and directly assist the General Counsel with corporate legal and compliance functions.

  • Supervise and manage compliance with Code of Ethics and other compliance policies
  • Monitor compliance with trading and other investment restrictions
  • Preclear personal trading requests
  • Manage information restrictions applicable to investment professionals
  • Maintain compliance related reports submitted by employees
  • Review marketing materials for compliance with applicable regulations and policies
  • Assist in the preparation of board materials, corporate and regulatory filings, and other corporate documents
  • Assist Chief Compliance Officer in completing compliance related tasks for both Direct Lending and Tradable Credit

Desired Capabilities
  • Strong interpersonal, presentation and communication skills and ability to interact effectively with individuals at all levels from management to support staff
  • Demonstrated self-starter who is a team player
  • Demonstrated ability to maintain strict confidentiality of the firm's internal and personnel affairs
  • Proactivity and the ability to follow up and follow through
  • Flexibility in order to respond quickly and positively to shifting demands; ability to work under tight deadlines and handle multiple, detailed tasks.
  • Excellent organization skills and strong attention to detail
  • High level of proficiency with Microsoft Word

Desired Experience
  • Bachelor's Degree
  • JD preferable
  • Minimum of 5 years of work experience in compliance
  • Work experience at a law firm or asset manager required