Compliance Associate - Rockford, IL

Our Compliance Associate role offers a unique opportunity to learn from experienced industry professionals while gaining hands-on exposure to regulatory oversight, compliance testing, audits, and firm-wide compliance initiatives. We're seeking a detail-oriented and motivated professional who thrives in a fast-paced environment and is eager to build a long-term career in financial services compliance!

The Compliance Associate is responsible for assisting in the administration of the firm’s compliance program to meet regulatory requirements. The role is ideally suited for an individual who is eager to learn and thrives in a fast-paced environment.

In this role, you can expect to focus in the following areas:

• Assist in the day-to-day operation of the Compliance Program
• Perform testing and audits to support the surveillance of the firm's compliance policies
• Assist with personal securities monitoring
• Assist in the preparation of data needed for routine regulatory filings
• Assist with proxy voting administration
• Be a conduit for discovering or the internal reporting of alleged violations of rules, regulations, policies, procedures, and Code of Ethics.
• Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
• Ensure proper reporting of violations or potential violations to the CCO
• Assist in any external examinations performed by regulators
• Assist in preparing data requested by auditors for surprise custody exam and annual CEFEX renewal
• Maintain team approach by assisting and filling in for others