Senior Compliance Officer, L&G - Asset Management, America

Location: Chicago, United States; onsite

Salary: $130,000–$180,000 yearly, plus eligibility for an annual discretionary bonus.

Company

Legal & General Asset Management is a global investment manager investing across public and private markets, with $1.533 trillion in assets under management.

What you will do

• Draft, review, and maintain compliance policies and procedures, including support for the annual 206(4)-7 compliance program review.
• Develop, perform, and document risk-based compliance monitoring and forensic testing across investment activities.
• Build out the compliance program for private markets and real assets, covering affiliated transactions, conflicts of interest, valuation, pricing, allocation, and MNPI.
• Prepare and support regulatory reports and filings, including Form ADV, Form PF, CPO filings, CFTC, DOL, FINRA, and Canadian regulatory filings.
• Support SEC examinations, regulatory inquiries, the Code of Ethics, personal trading oversight, and compliance investigations.
• Provide day-to-day compliance guidance and contribute to risk assessments, surveillance, marketing compliance, training, and governance materials.

Requirements

• At least 5 years of asset management compliance experience with an SEC-registered investment adviser.
• Knowledge of the Investment Advisers Act of 1940, Investment Company Act, CFTC/NFA rules, and registered investment adviser compliance obligations.
• Strong policy and procedure drafting skills and experience with risk-based compliance analysis.
• Excellent written and verbal communication, sound judgment, attention to detail, and the ability to manage multiple priorities independently.
• Collaborative work ethic and commitment to an inclusive and diverse team culture.

Nice to have

• Experience with private credit, real estate, private equity, or other private-market strategies.

Culture & Benefits

• Full-time employees may be eligible for health, dental, vision, life, disability, and flexible spending benefits.
• Benefits may include a 401(k), vacation, sick time, employee assistance, and commuter and transit programs.
• Additional voluntary coverage includes supplemental health, accidental injury, critical illness, hospital indemnity, and pet insurance.