Compliance Analyst

Compliance Analyst Chicago Atlantic Advisers LLC Chicago, IL Job Details 10 hours ago Qualifications Employee onboarding Record keeping Document review (document control) Customer service Securities & Exchange Commission Regulatory compliance Bachelor's degree in business Humanities Mid-level 3 years Compliance management Bachelor's degree Surveillance Financial services Financial regulatory compliance Onboarding process management Business Communication skills Adobe Acrobat Regulatory compliance management Bachelor's degree in humanities

Full Job Description Description:

Chicago Atlantic is a private markets alternative investment manager focused on industries and companies where demand for capital exceeds traditional supply. The firm's investment strategies include opportunistic private credit and equity with focuses on loans to esoteric industries, specialty asset-based loans, liquidity solutions and growth and technology finance. Chicago Atlantic has closed over $3.8 billion in credit facilities. Chicago Atlantic's team of over 100 professionals has offices in Chicago, Miami, New York and London. For more information on Chicago Atlantic's investment opportunities and financing products, visit chicagoatlantic.com. Our company is seeking a Compliance Analyst with up to three years of relevant experience working with laws and regulations applicable to financial services businesses. The Compliance Analyst will support the Director of Compliance and the Chief Compliance Officer in the administration and maintenance of the Company's compliance program and in supporting efforts to ensure the Company's operations (and those of its affiliates) comply with applicable legal and regulatory requirements.

Requirements:

What You'll be

Doing:

Assist in the administration and maintenance of the Firm's written compliance policies and procedures, including supporting updates, certifications, and acknowledgments by supervised persons. Support ongoing compliance monitoring and testing activities, including personal trading surveillance, restricted list monitoring, gifts and entertainment tracking, political contributions monitoring, conflicts-of-interest reporting, and testing of compliance controls. Assist with employee onboarding and annual compliance processes, including personal securities account disclosures, code of ethics certifications, and compliance training coordination. Maintain required compliance records and documentation in accordance with applicable SEC books-and-records requirements, including supporting filings, logs, and compliance evidence. Assist in the review and tracking of marketing materials, investor communications, and other firm documents for compliance with applicable regulatory requirements, following established review protocols. Coordinate with internal teams (investment, investor relations, operations, finance) to gather compliance-related information and follow up on outstanding items.

What You'll Bring:

Bachelor's degree in business, the sciences, or the humanities Experience in-house at a financial services firm or financial services consultancy; experience working with laws and regulations applicable to SEC-registered investment advisers a plus Strong critical-thinking and problem-solving skills; ability to work independently while exercising discretion to seek guidance when appropriate Customer-service-oriented communication skills Commercial, solutions-oriented approach to resolving compliance issues Ability to track, manage, and advance compliance projects Proficiency with modern digital productivity tools, including Microsoft Office and Adobe Acrobat Familiarity with ComplySci or other digital compliance management systems High attention to detail and accuracy; sound judgment and discretion