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Compliance Associate

  • Compliance Associate job type Posted on: Nov 03, 2026
  • Compliance Associate experience level Alexander Chapman
  • Compliance Associate employment type Mundelein, Illinois
  • Compliance Associate employment type Remote
  • Compliance Associate salary Full-time
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Job Title :

Compliance Associate

Job Type :

Full-Time

Job Location :

Mundelein Illinois United States

Remote :

Yes

Jobcon Logo Job Description :

View Full Description

Job Description

Our client, an established investment management firm is seeking a Compliance Associate to join its compliance team.

\n


\n

This role offers broad exposure to registered funds, regulatory filings, governance, and marketing review.

\n


\n

Responsibilities

\n

• Support contracts and agreements for U.S. and international funds and corporate entities.

\n

• Assist with registration statements, prospectus updates, shareholder disclosures, and SEC filings, including Section 13 filings.

\n

• Prepare Board materials, coordinate meeting agendas, and draft minutes.

\n

• Review marketing materials, RFPs, and due diligence questionnaires.

\n

• Help maintain compliance policies, procedures, and filing records.

\n

• Research regulatory developments affecting investment advisers, mutual funds, and ETFs.

\n


\n

Qualifications

\n

• 1–3 years of relevant experience, preferably supporting mutual funds or ETFs.

\n

• Bachelor’s degree in finance, Business, Legal Studies, or a related field, or equivalent education and experience

\n

• Knowledge of the Investment Company Act, Investment Advisers Act, and SEC/FINRA requirements.

\n


\n

About the opportunity:

\n
    \n
  • Compensation Range: $90,000 - $100,000 base salary + Bonus
    • \n
  • Work Module: Hybrid (3 days in the office, 2 days remote)
    • \n
  • Location: NYC
    • \n
\n


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Jobcon Logo Position Details

Posted:

Nov 03, 2026

Reference Number:

e2b4dddc8e17c1f2

Employment:

Full-time

City:

Mundelein

Job Origin:

ziprecruiter

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Job Description

Our client, an established investment management firm is seeking a Compliance Associate to join its compliance team.

\n


\n

This role offers broad exposure to registered funds, regulatory filings, governance, and marketing review.

\n


\n

Responsibilities

\n

• Support contracts and agreements for U.S. and international funds and corporate entities.

\n

• Assist with registration statements, prospectus updates, shareholder disclosures, and SEC filings, including Section 13 filings.

\n

• Prepare Board materials, coordinate meeting agendas, and draft minutes.

\n

• Review marketing materials, RFPs, and due diligence questionnaires.

\n

• Help maintain compliance policies, procedures, and filing records.

\n

• Research regulatory developments affecting investment advisers, mutual funds, and ETFs.

\n


\n

Qualifications

\n

• 1–3 years of relevant experience, preferably supporting mutual funds or ETFs.

\n

• Bachelor’s degree in finance, Business, Legal Studies, or a related field, or equivalent education and experience

\n

• Knowledge of the Investment Company Act, Investment Advisers Act, and SEC/FINRA requirements.

\n


\n

About the opportunity:

\n
    \n
  • Compensation Range: $90,000 - $100,000 base salary + Bonus
    • \n
  • Work Module: Hybrid (3 days in the office, 2 days remote)
    • \n
  • Location: NYC
    • \n
\n


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