Compliance Associate jobs in Naperville, IL

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Associate, Compliance
  • Monroe Capital LLC
  • Chicago, IL FULL_TIME
  • Description

    Monroe Capital (the “Firm”) is a premier asset management firm specializing in private credit markets across various strategies including, direct lending, asset-based lending, specialty finance, opportunistic and structured credit, real estate, and equity.  The Firm is seeking an Associate of Compliance. 


    The Associate of Compliance will assist the Chief Compliance Officer in implementing and maintaining the Firm's strategy, programs, policies, and practices with regards to regulatory compliance and risk mitigation for its registered investment advisor entities.  The Firm is seeking a candidate that will bring valuable expertise and be able to effectively communicate with internal and external stakeholders on complex compliance matters in a direct and simple manner.  


    The Associate of Compliance must be confident and proactive, with the versatility of assisting and managing micro and macro compliance activities and actions.  The Associate of Compliance will be charged with supporting multiple areas of the business as well as assisting the CCO with further developing and maintaining the Firm’s compliance program as the Firm continues to grow and expand. 


    Responsibilities:

    • Assist with further developing and managing the Firm’s risk  management program, including in-depth analysis of procedures within various departments to identify process improvements in terms of efficiency (including systems recommendations) and risk mitigation.
    • Assist with updating and maintain the compliance programs for the Firm’s registered investment advisors and our business  development companies.
    • Serve as a compliance liaison with the legal department relative to other activities that impact the Firm (contracts, service provider agreements/updates, onboarding new technology platforms,      licensing agreements) as well as fund offering materials and registrations.
    • Assist all regulatory reporting, including, but not limited to Form ADV, Form PF, US and Non-US regulatory filings associated with fund offerings.
    • Manage outsourced third-party compliance relationships (vendors, consultants, etc.).
    • Foster a compliance culture for efficiently and effectively managing compliance throughout the organization.

    Requirements

    • 1-4 years of related experience (within the compliance function of a SEC-registered investment adviser or with a law firm specializing in the investment advisory industry).
    • Knowledge of sophisticated investment offerings across multiple jurisdictions is a plus, ideally with a focus on private credit and/or exposure to private equity style funds, BDCs, real estate and other emerging products.

    About Monroe Capital
    Monroe Capital LLC (“Monroe”) is a premier boutique asset management firm with approximately $18B of assets under management specializing in private credit markets across various strategies, including direct lending, asset-based lending, specialty finance, opportunistic, real estate, structured credit, and equity. Since 2004, the firm has been successfully providing capital solutions to clients in the U.S. and Canada. Monroe prides itself on being a value-added and user-friendly partner to business owners, management, and both private equity and independent sponsors. Monroe’s platform offers a wide variety of investment products for both institutional and high net worth investors with a focus on generating high quality “alpha” returns irrespective of business or economic cycles. The firm is headquartered in Chicago and maintains offices in Atlanta, Boston, Los Angeles, Miami, Naples, New York, San Francisco, and Seoul.

  • 20 Days Ago

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Compliance Associate
  • GCM Grosvenor
  • Chicago, IL FULL_TIME
  • SUMMARYAs a member of Compliance, the individual in this position will be responsible for administering and supporting the compliance functions of GCM Grosvenor. As an onsite/hybrid employee, you are ...
  • 1 Day Ago

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Compliance Associate
  • POAH Communities
  • Chicago, IL FULL_TIME
  • Company: POAH Communities, LLC Position: Compliance Associate Location: This position requires the applicant to be based in Chicago, IL. This is a hybrid arrangement: two days in the office and three ...
  • 18 Days Ago

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Compliance Associate
  • The Macsim Group
  • Chicago, IL FULL_TIME
  • A Compliance Associate's primary role is to assist the Chief Compliance Officer and team with the day-to-day administration and oversight of the Firm’s compliance program including Code of Ethics moni...
  • Just Posted

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Compliance Associate
  • First American Bank
  • Village, IL FULL_TIME
  • Job Description First American Bank was founded in Chicago, and over the years has expanded throughout Wisconsin and Florida. As the largest privately held bank in Illinois, we now have over 60 locati...
  • Just Posted

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Executive Director - Accreditation & Compliance
  • Accreditation & Compliance - CCC Careers
  • Chicago, IL FULL_TIME
  • EXECUTIVE DIRECTOR - ACCREDITATION & COMPLIANCE MALCOLM X COLLEGE Malcolm X College is seeking an Executive Director of Accreditation & Compliance. This position is responsible for ensuring compliance...
  • 22 Days Ago

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0 Compliance Associate jobs found in Naperville, IL area

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Compliance Associate
  • GCM Grosvenor
  • Chicago, IL
  • SUMMARY As a member of Compliance, the individual in this position will be responsible for administering and supporting ...
  • 3/28/2024 12:00:00 AM

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Entry Level Architect - Nuclear Projects
  • Sargent & Lundy
  • Chicago, IL
  • Description: Work on challenging assignments with an internationally recognized architectural/engineering firm that incl...
  • 3/28/2024 12:00:00 AM

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NERC Compliance Engineer/Specialist
  • NiSource
  • Hammond, IN
  • NERC Compliance Eng/Spec Job Summary: This position evaluates, develops and implements Compliance activities for the NIP...
  • 3/28/2024 12:00:00 AM

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Senior IT Risk and Compliance Manager
  • Insight Global
  • Deerfield, IL
  • Required Skills and Experience - Education equivalent to Bachelors Degree in Information Technology or the equivalent in...
  • 3/28/2024 12:00:00 AM

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Compliance Associate
  • Larson Maddox
  • Chicago, IL
  • Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and m...
  • 3/27/2024 12:00:00 AM

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Consumer Protection Litigation and Compliance Associate
  • Top Tier Reps LLC
  • Chicago, IL
  • We are seeking an associate with three to six years of litigation experience to join our growing team. Candidates must h...
  • 3/27/2024 12:00:00 AM

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Remote Retirement Plan Compliance Analyst
  • Ascensus
  • Chicago, IL
  • FuturePlan is the nations largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 5...
  • 3/26/2024 12:00:00 AM

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QA / Compliance Administrator
  • First Staff Services
  • Lemont, IL
  • Job Description Job Description Direct Hire, 1st shift, 8am - 4:30pm, Mon-Fri, $27/hr General Responsibilities This posi...
  • 3/26/2024 12:00:00 AM

Naperville (/ˈneɪpərˌvɪl/) is a city in DuPage and Will counties in the U.S. state of Illinois. Located 28 miles (45 km) west of Chicago, Naperville was founded in 1831 and developed into the fifth-largest city in Illinois. As of the 2010 census, the city had a population of 141,853, which was estimated to have increased to 147,682 by 2017. In a 2010 study assessing cities with populations exceeding 75,000, Naperville was ranked as the wealthiest city in the Midwest and the eleventh wealthiest in the nation. It was ranked among the nation's safest cities by USA Today and Business Insider. Nap...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Associate jobs
$55,363 to $93,060
Naperville, Illinois area prices
were up 0.8% from a year ago

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Stay abreast of changing regulations that impact our business to continuously evolve best-in-class review processes, policies and procedures.
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