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Compliance Associate
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- Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients.
- They are seeking a Compliance Associate to join the team and work alongside the Compliance Manager, Chief Compliance Officer & General Counsel, and Chief Operating Officer.
- In this role, you will be responsible for ensuring that the firm is in compliance with all applicable laws, regulations, and policies related to the investment advisory industry.
- Administer the Code of Ethics compliance program using Orion Technology
- Stay up-to-date with changes in laws and regulations that affect the investment advisory industry.
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