Investment Adviser Compliance Jobs in Illinois

... of legal advice relating to investment products, services, and the support ... senior management. Coordination with the Compliance department to ensure proper implementation ... and maintaining registered and unregistered..

Senior Legal Counsel - Asset Management/Broker Dealer The candidate will be part of a 15 member team that supports Northern Trust’s asset management and brokerage businesses. Broad asset management experience with ..

... industries: consumer or corporate banking, investment banking or capital markets, investment management, wealth management, trust company, ... business strategy, product management, regulatory compliance, risk management, controls oversight, technology, .....

... industries: consumer or corporate banking, investment banking or capital markets, investment management, wealth management, trust company, ... business strategy, product management, regulatory compliance, risk management, controls oversight, technology, .....

... industries: consumer or corporate banking, investment banking or capital markets, investment management, wealth management, trust company, ... business strategy, product management, regulatory compliance, risk management, controls oversight, technology, .....

Corporate Associate The candidate must have 3-5 years of experience. Should preferably have a general corporate background with specific experience advising investment management companies, assisting with fund formation, and handling compliance ..

... is currently seeking a talented Investment Funds Regulatory Associate Attorney to ... strong working knowledge of the Investment Advisers Act of 1940 and ... Act of 1940 and the..

Compliance Officer - Securities Industry The ... support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series ... (Trusts). Will assist in the compliance oversight of service providers to..

Associate - Investment Services The candidate should have ... extensive experience working with registered investment companies and investment advisers. Must have extensive experience ... extensive experience with regulatory and compliance..

... the formation, structuring, capital raising, compliance, and ongoing management of alternative ... and ongoing management of alternative investment funds across various strategies. The ... raising transactions and managing equity..

... for matters arising for the investment products (i.e., mutual funds, ETFs, ... or company required. Experience with investment adviser regulatory matters and mutual fund ... required, with specific expertise..

Aon is looking for an Investment Compliance Manager As part of an ... and effective solutions supporting our investment team. Your impact as an ... team. Your impact as an..

Director, Compliance Consulting The candidate will lead the day-to-day support of the compliance programs for a variety of SEC registered investment advisers. Provide technical expertise on complex regulatory issues, particularly those ..

Aon is looking for a Compliance Analyst, Aon Investments USA The ... Analyst, Aon Investments USA The Compliance Analyst’s primary role is to ... role is to assist the Compliance..

Aon is looking for a Compliance Analyst, Aon Investments USA. This ... innovative and effective solutions supporting investment consulting. Aon Investments USA Inc. ... Inc. (“AIUSA”) is a registered investment..

Senior Legal Counsel, Asset Servicing The candidate will work with the Asset Servicing clients and their attorneys to negotiate complex service agreements, including fund administration agreements, transfer agency agreements, custody and ..

Manager - Regulatory Compliance The candidate will advise clients ... candidate will advise clients on compliance with the Securities Act, Securities ... marketing and advertising materials for compliance with the..

Family Office Attorney The candidate will work with attorneys across disciplines to advise new and established family offices on structuring management entities, family capital, and third-party investment vehicles for tax optimization, ..

... industries: consumer or corporate banking, investment banking or capital markets, investment management, wealth management, trust company, ... business strategy, product management, regulatory compliance, risk management, controls oversight, technology, .....

... a Mid-to Senior-level Financial Services Compliance and Regulatory Associate Attorney with ... be crucial in advising registered investment advisors and broker-dealers on regulatory ... and broker-dealers on regulatory and..

... should have experience representing registered investment advisers, family offices, private funds, ... sponsors on formation, regulatory, operational, compliance, and transactional matters, including representing ... M&A transactions involving wealth managers,..

Chief Compliance Officer The candidate will report ... develop and motivate a small compliance team while providing support to ... work within the legal and compliance team, but within a..

Senior Manager, First Line Risk Management Office, Governance The candidate will understand and opine on the process of creation, review, update, and implementation of disclosures, such as research, product, bank, account ..