Compliance Analyst – Investment Management

Compliance Analyst – Investment Management | Chicago, ILLHH is partnering with a respected investment management organization to identify an experienced Compliance Analyst. This opportunity is ideal for professionals with a strong compliance background in asset management and direct experience supporting activities governed by the Investment Company Act of 1940 and the Investment Advisers Act of 1940.Key ResponsibilitiesPrepare and deliver client and regulatory reporting.Assist with regulatory filings and compliance-related disclosures.Monitor compliance with shareholder and regulatory requirements.Maintain compliance policies, procedures, and documentation.Support trade monitoring and pre-clearance processes.Assist with due diligence questionnaires and RFP responses.Partner with legal and business teams on compliance initiatives.Required Qualifications✅ 3+ years of compliance experience within asset management, investment advisory, mutual funds, or financial services✅ Working knowledge of the Investment Company Act of 1940 (1940 Act) is REQUIRED✅ Familiarity with the Investment Advisers Act of 1940✅ Strong analytical, organizational, and problem-solving abilities✅ Excellent written and verbal communication skills✅ Proficiency with Microsoft Office SuiteCompensation: $80,000 – $150,000 annually (commensurate with experience)Benefits package including health, dental, vision, and 401(k).Preferred BackgroundRegistered Investment Adviser (RIA)Mutual FundsAsset ManagementInvestment ManagementWealth ManagementFinancial Services ComplianceEqual Opportunity Employer/Veterans/DisabledTo read our Candidate Privacy Information Statement, which explains how we will use your information, please navigate to https://www.lhh.com/us/en/candidate-privacyThe Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable:• The California Fair Chance Act• Los Angeles City Fair Chance Ordinance• Los Angeles County Fair Chance Ordinance for Employers• San Francisco Fair Chance OrdinanceSEO KeywordsCompliance Analyst, 1940 Act, Investment Company Act of 1940, Investment Advisers Act, Asset Management Compliance, Mutual Funds Compliance, Regulatory Compliance, Investment Management Jobs, Financial Services Compliance, Chicago Compliance Jobs.