What are the responsibilities and job description for the Compliance Associate position at JMG Financial Group?
Location:
Downers Grove, IL
Remote Status: Hybrid
Job Id: 112
JMG Financial Group, Ltd. is one of the largest independently owned fee-based wealth management firms in the Chicago area. JMG provides wealth management services to corporate executives and high net worth individuals. Investment News recently announced JMG as #1 Best Places to Work for Financial Advisors for 2024.
JMG is in search of a full-time Compliance Associate to help JMG achieve our strategic goals by supporting the policies, procedures and practices that ensure the company complies with regulatory requirements and internal policies. This position reports directly to the Chief Compliance Officer.
This is a non-exempt position that is eligible for hybrid remote work after the initial training period. The duties of this role would include, but are not limited to, the following:
- Support the Chief Compliance Officer by assisting in the various aspects of the compliance program.
- Assist with the annual compliance review and other policy updates, training & education
- Assist with the preparation of regulatory filings such as Form ADV, Section 13F, annual custody audits and others
- Maintain the Code of Ethics program and prepare and process advisory agreements
- Lead or assist with firm initiatives and/or special projects
- Assist in maintaining, developing and monitoring standardized processes and procedures in respect to regulatory requirements
- Point of contact for internal and external compliance questions and requests
- Organize and maintain a variety of files, records, spreadsheets and databases
Education: Education may vary; Associates or Bachelors degree required in Accounting, Business Administration, Finance or Economics and minimum 3 years of financial services industry experience, preferably in a compliance-related role with a registered investment adviser.
Compensation: Non-Exempt position, eligible for overtime, bonuses and full benefits including health, dental, vision, life, long-term disability and 401(k).
Your resume and cover letter referring to this posting are required to be considered.
JMG is an equal opportunity employer.
Pay Range: $65,000 - $75,000 per year
Salary : $65,000 - $75,000
