Senior Compliance Associate

Senior Compliance AssociateRegulatory Filings & Advisory | Private Equity Focus Remote (U.S.) | HQ: Chicago, IL Compensation: $150,000-$200,000 + bonus potentialAbout the FirmWe are a growing compliance consulting firm specializing in regulatory and compliance advisory services for private equity firms, investment advisers, and other asset managers. Our team partners directly with clients to design, implement, and maintain robust compliance programs that meet evolving regulatory expectations.While this role is fully remote, our headquarters is located in Chicago, and candidates must be U.S.-based.The RoleWe are seeking a Senior Compliance Associate with deep experience in investment adviser regulatory compliance to support and advise clients across a range of compliance functions. This is a hands‑on role suited for candidates who have worked in private equity, investment management, or compliance consulting and are comfortable managing complex regulatory requirements with minimal oversight.Key ResponsibilitiesPrepare, review, and file SEC regulatory forms, including Form ADV (Parts 1 & 2), Form PF, and related amendmentsConduct marketing and advertising reviews in accordance with the Advisers Act and SEC Marketing RulePerform compliance reviews and mock exams assessing adherence to regulatory requirements, internal policies, and best practicesSupport the development, implementation, and enhancement of RIA compliance programsDraft and update compliance policies, procedures, disclosures, and client communicationsAdvise private equity and alternative investment clients on regulatory obligations and risk mitigationMonitor regulatory developments and assess impact to client compliance programsCollaborate with senior consultants and clients to remediate findings and implement corrective actionsQualifications5-10+ years of investment adviser compliance experienceDirect experience with private equity firms, alternative investment managers, or compliance consulting (required)Extensive hands‑on experience with Form ADV and Form PF filingsStrong understanding of the Advisers Act, SEC regulations, and examination prioritiesExperience reviewing marketing materials under the SEC Marketing RuleBachelor's degree required; advanced degree a plus What We OfferHighly competitive compensation: $150,000-$200,000 base, commensurate with experienceFully remote work environment with flexibilityExposure to sophisticated private equity and asset management clientsEntrepreneurial firm culture with significant opportunities for growth and advancement