Compliance Specialist

Chicago, IL – RCP Advisors is seeking a collaborative and organized professional to join its Legal and Compliance team. This role will work across business lines with a primary focus on reviewing marketing materials and practices for compliance with applicable regulatory requirements, while also supporting the broader legal and compliance functions of the Firm. The position offers an opportunity to apply transferable skills in a specialized compliance environment while helping RCP maintain a robust, practical compliance program.

If you believe you would be a good fit for this position, please send your resume to scicerelli@rcpadvisors.com. Thank you in advance for your consideration. 

What You Will Do:

• Manage the full cycle compliance review process for new and updated marketing materials.
• Manage the intake, tracking, and administration of non-disclosure agreements (NDAs), including coordinating internal and external communications, maintaining records, and supporting the execution process.
• Partner with Marketing and other business teams to gather information, clarify questions and maintain review efficiency.
• Apply sound judgment and attention to detail, identify gaps, and escalate questions for guidance.
• Track, coordinate, and assist in the completion of compliance training materials, certifications, questionnaires, attestations, and related compliance activities.
• Help improve cross-functional workflow and documentation related to marketing and NDA needs.
• Assist with forensic testing and related compliance monitoring activities.
• Support compliance training and other Legal and Compliance initiatives, including employee onboarding, as needed.
• Provide other support to the Legal and Compliance team based on evolving business priorities.

What We Are Looking For:

• Experience in private equity, investment management, or financial services.
• General understanding of business operations and how teams interact across a financial firm.
• Familiarity with regulated review processes, NDAs, or similar document-review workflows.
• Self-starter with ability to work well independently and proactively offer solutions to obstacles or conflicts with a “no task is too small” attitude
• Understanding of the Investment Advisers Act of 1940 or a demonstrated ability to learn applicable regulatory requirements.
• Curiosity and confidence to ask thoughtful questions and seek clarification.
• Traditional compliance titles or career paths are not required but relevant exposure is important. Other industry practices may include: Operations, Marketing, Account Services, or other business support functions.

Qualifications:

• 1 to 3 years of relevant professional experience.
• Project management and organizational skills, including the ability to prioritize multiple workstreams and meet deadlines.
• Writing and verbal communication skills, with the ability to engage across teams and levels.
• Analytical thinking, sound judgment, and exceptional attention to detail.
• Collaborative working style and ability to work independently to proactively move work forward.
• High ethical standards and discretion when handling sensitive information.
• Proficiency with Microsoft Word, Excel and PowerPoint.

Benefits:

• Insurance coverage, including medical, dental & vision plans; firm / employees pay premiums
• 401k with a company safe harbor contribution for all eligible employees
• Short- and long-term disability
• Life, AD&D, accident, critical illness and hospital indemnity insurance coverage
• Transit and cell phone stipend
• Unlimited time off for vacation, sick and personal time
• 12 paid company holidays
• Paid parental leave
• Remote work capabilities
• Compensation for this role is $65,000 – $85,000.

Other:

• Full-time
• Non-exempt
• Classification: Mid-Level / Junior
• Onsite: Chicago, IL 60654 / Hybrid

About RCP Advisors

Founded in 2001, RCP Advisors is a private equity investment firm headquartered in Chicago that provides access to lower middle market private equity fund managers through primary funds-of-funds, secondary funds, and co-investment funds. Additionally, the firm provides advisory and investment research services.

Contact

Stephanie Cicerelli

Human Resources Business Partner 

scicerelli@rcpadvisors.com

The duties and responsibilities described above are not comprehensive and additional tasks will be assigned. The scope of the job may change as necessitated by business demands.

RCP Advisors is an Equal Opportunity Employer and is committed to providing employees and applicants with an environment free of discrimination and harassment. All employment decisions at RCP Advisors are based on business needs, job requirements, and individual qualifications. All qualified applicants will receive consideration for employment without regard to race, color, age, religion, sex, gender identity, sexual orientation, national origin, family or parental status, veteran or disability status, or any other status protected by the laws or regulations in the locations where we operate.

Americans with Disabilities Act (ADA)
RCP Advisors will provide reasonable accommodations during the application process upon request as required to comply with applicable laws. If you have a disability and require assistance in this application process, please contact us at (214-764-3195) or scicerelli@rcpadvisors.com.