Compliance Associate, PPM

PPM America•Chicago, IL

13h•Onsite

About The Position

The Compliance Associate role provides opportunities to build experience across a broad spectrum of institutional investment compliance activities and exposure to all of PPM's investment strategies. The Compliance Associate also has the opportunity to regularly engage with seasoned investment professionals and senior leaders across the firm, and as part of the Compliance team, to provide advice and guidance to support the firm's client service standard and help the firm achieve its strategic objectives.

Requirements

Must be a team player with excellent written and verbal communication skills.
Ability to interact effectively and regularly with peers and all levels of management.
Attention to detail and strong organizational skills.
Ability to simultaneously and efficiently manage multiple projects.
Strong personal computer skills and efficient utilization of technology (Microsoft Office, Adobe Acrobat, Copilot).
Bachelor's Degree or equivalent experience required.
0-3 years of professional experience, with a preference for finance/business graduates with an interest in investments and financial markets or for compliance, audit, or risk management experience in a financial services environment, required.

Nice To Haves

Additional familiarity with Aladdin or JIRA is a plus.
Familiarity with multiple asset classes and product offerings is helpful but not required.
Other general regulatory and compliance experience is helpful but not required, including knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA, and other securities related rules and regulations and related policies and procedures.

Responsibilities

Assist in the oversight of the firm’s investment activities, including the monitoring of client portfolio investment guidelines using the Aladdin system.
Support other routine investment compliance monitoring activities and assist with deep-dive thematic reviews on compliance risk topics identified in the PPM Compliance plan.
Assist in communicating with PPM Trading Desk and Portfolio Management teams regarding investment guideline triaging and resolution.
Support ongoing routine or ad-hoc monitoring activities to ensure compliance with policies and procedures related to employee personal trading, employee political contributions, gifts and business entertainment, and information barriers.
Assist in the execution of monitoring procedures and the preparation of reporting on financial crime risk areas, including economic sanctions, anti-money laundering, anti-bribery, and fraud.
Prepare drafts of compliance reports for management and governance committees.
Prepare drafts of client compliance reports and compliance checklists.
Assist in the drafting and review of PPM compliance policies and procedures, and identify, track, and assess new regulations and rule proposals to ensure effective implementation of necessary policy and procedure changes and ongoing compliance.
Support Compliance subject matter experts in the identification and assessment of compliance and regulatory risks as part of the ongoing development and execution of PPM’s compliance plan.
Performs other duties and/or projects as assigned.