Compliance Analyst (Asset Management)

TL;DR

Compliance Analyst (Asset Management): Supporting compliance monitoring, surveillance, testing, and regulatory advisory activities for an investment management organization with an accent on employee conduct, personal trading, and policy adherence. Focus on reviewing Code of Ethics preclearance requests, coordinating with international affiliates, and solving complex compliance issues across a matrixed organization.

Location: Hybrid position in Chicago, United States

Salary: $75,000–$90,000 yearly, plus eligibility for an annual discretionary bonus.

Company

Legal & General Asset Management is a global investment management business serving individual savers, pension schemes, and institutional clients across public and private markets.

What you will do

• Perform forensic testing, employee and trade surveillance, compliance monitoring, and policy testing.
• Review and approve Code of Ethics preclearance requests covering gifts, entertainment, political and charitable contributions, outside business activities, and personal trading.
• Coordinate with international affiliates on conduct monitoring and regulatory alignment.
• Establish workflows and document compliance procedures to improve operational efficiency and regulatory adherence.
• Support regulatory examinations, annual reviews, internal audits, employee training, and issue resolution.
• Assist the Senior Compliance Officer with compliance projects and the ongoing compliance program.

Requirements

• Bachelor’s degree or equivalent education and experience.
• 2–4 years of experience with an SEC-registered investment advisor.
• General understanding of equity, fixed income, derivative securities, and financial markets.
• Proficiency with Microsoft Office, including Excel, Word, and PowerPoint.
• Strong critical-thinking, research, problem-solving, communication, time-management, and documentation skills.
• Ability to prioritize work, meet deadlines, and provide compliance guidance in a dynamic environment.

Nice to have

• Experience with STAR Compliance or Charles River Investment Management (CRIMS).
• Experience in a large, international, matrixed organization.

Culture & Benefits

• Hybrid work environment supporting collaboration across an international organization.
• Opportunity to contribute to a strong culture of compliance and ethical standards.
• Potential eligibility for health, dental, vision, life, disability, HSA, and flexible spending benefits.
• 401(k), vacation, sick time, employee assistance, commuter, and transit programs may be available.
• Additional voluntary benefits may include supplemental health and pet insurance.