ASSOCIATE, COMPLIANCE

Description

About Cresset

Cresset is an award-winning, independent, multi-family office, and private investment firm. Cresset’s goal is to reinvent the way people experience wealth by providing access to the talent, ideas, and investment opportunities available to the largest single-family offices and endowments. We offer deeply personalized wealth management, investment advisory, and family office services through Cresset Asset Management, an SEC-registered investment advisor that has surpassed $50 billion in assets under management. The firm is widely recognized for its excellence and is frequently ranked as a Barron’s and Forbes top RIA firm.

Job Description

Based in Chicago, the Senior Compliance Associate will help support the ongoing efforts of the Compliance department with a primary focus on assisting team members with core day-to-day and administrative compliance responsibilities.  Additionally, this person will assist the compliance team with ad-hoc compliance projects.

This is a great opportunity for a person with experience at an RIA, broker-dealer, securities regulator, or other related financial institution.  The candidate should be a proactive, resourceful, self-starter with a roll-up-your-sleeves mentality, who is extremely organized, detail-oriented and precise, while remaining flexible to changing priorities.

Key Responsibilities

• Be an integral part of the compliance team and assist in the various aspects of our compliance programs.
• Become proficient and maintain our various compliance systems and technologies.
• Assist with Code of Ethics Monitoring
• Assist with Licensing and Registration
• Assist with Regulatory Filings
• Assist with onboarding/offboarding
• Vendor liaison for all compliance applications and assist in system administration, maintenance, and data entry.
• Maintain books and records, compliance calendar, and files.
• Perform compliance monitoring and tests as needed.
• Assist with compliance policy updates, training & education.
• Keep track of team goals, organize and maintain status of meetings and projects.
• Perform and/or assist with special projects.

Qualifications

• College graduate
• 3-5 years’ experience in financial services or with a regulatory organization preferred
• Experience with a registered investment advisor or broker-dealer preferred
• Experience in a compliance capacity preferred
• Exceptional organization and planning skills with ability to multi-task
• Attention to detail and follow-through
• Versatile, flexible, and a willingness to work with changing priorities
• Strong communication, written, verbal and listening skills
• Proficiency with Microsoft Office Suite (Word, Excel, and PowerPoint, and Outlook)
   

What We Offer:

At Cresset, we focus on people first. As a service business, our people are our assets. Engaging our clients and employees is our highest priority. Starting base salary range: $80,000 - $95,000.  Salary will be based on factors including, but not limited to, experience, licenses/certifications, industry knowledge, and geographic location. Cresset offers a competitive compensation package including an annual incentive and a benefits package to all full-time employees including medical, dental, vision, life insurance, 401(k) retirement plan, health savings accounts, short and long-term disability insurance, voluntary critical and accident insurance, and pre-tax parking and transportation programs. Aligning employee and organizational interests, all employees receive equity in Cresset.

Equal Employment Opportunity

It is the policy of Cresset to ensure equal employment opportunity (EEO) for all employees and applicants for employment without regard to race, color, religion, sex, pregnancy (including childbirth, lactation, or related conditions), national origin or ancestry, age, disability, veteran status, uniformed servicemember status, sexual orientation, gender identity, status as a parent, genetic information (including testing and characteristics), or any other characteristic protected by applicable federal, state, or local law. It is Cresset’s policy to comply with applicable laws concerning the employment of persons with disabilities, including reasonable accommodation for applicants and employees with disabilities.

Salary : $80,000 - $95,000