Compliance Analyst, L&G - Asset Management, America

LegalAndGeneral • Chicago, IL

1d • $75,000 - $90,000 • Onsite

About The Position

The Compliance Analyst supports the firm’s Compliance Program through ongoing monitoring, surveillance, testing, and advisory activities. This role plays a key part in upholding the firm’s “Culture of Compliance” by ensuring adherence to regulatory requirements, internal policies, and ethical standards across the organization.

Requirements

• Bachelor’s degree or equivalent combination of education and experience.
• 2-4 years of experience with an SEC-registered investment advisor.
• General understanding of equity, fixed income and derivative securities and markets.
• Strong computer skills, including proficient with Microsoft Office (Excel, Word, PowerPoint).
• Ability to effectively manage time, prioritize tasks, and meet deadlines in a dynamic environment.
• Strong critical-thinking and problem-solving skill, with the ability to develop creative solutions.
• Excellent verbal and written communication skills, with the ability to clearly convey information and guidance.
• Ability to research compliance related topics and provide guidance to team members.
• Strong attention to detail with a demonstrated ability to produce through, accurate documentation.

Nice To Haves

• Experience within STAR Compliance and/or Charles River Investment Management (CRIMS) is a plus.
• Experience working in a large, international, matrixed organization is a plus.

Responsibilities

• Assist with forensic testing of compliance with policies and procedures, including employee and trade surveillance, monitoring and testing.
• Lead the review and approval of all Code of Ethics preclearance requests, including: gifts, entertainment, political contributions, charitable contributions, outside business activities, and personal trading requests.
• Engage with international affiliates on conduct and monitoring related matters to ensure global alignment of compliance standards and regulations.
• Establish workflows and document compliance procedures to support operational efficiency and regulatory adherence.
• Cross train in additional compliance tasks to provide coverage for absent team members.
• Participate in training employees on compliance requirements, supporting firm-wide understanding of obligations.
• Assist in document gathering and provide support during periodic regulatory exams, annual reviews and internal audits.
• Perform general compliance duties, supporting daily oversight and issue resolution.
• Support ad hoc compliance projects and initiatives as assigned.
• Assist the Senior Compliance Officer in maintaining and promoting a strong “Culture of Compliance” across all staff and business areas.

Benefits

• health insurance with an optional HSA
• short term disability
• long term disability
• dental insurance
• vision care
• life insurance
• Healthcare, Dependent and Limited Care Flexible Spending Accounts
• 401K
• vacation
• sick time
• an employee assistance program
• commuter and transit programs
• supplemental health benefits including accidental injury, critical illness and hospital indemnity insurance
• pet insurance

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree