Title: Compliance Associate - Broker-Dealer
Company Summary: A well-established RIA in Chicago is launching a new Broker-Dealer platform and are looking for a talented Compliance Associate to help support the growth of this new Broker-Dealer entity, in conjunction with the firm's Chief Compliance Officer and Director of Compliance.
The Compliance Associate will be responsible for:
- Trade surveillance and outgoing electronic communication review
- Maintenance and enforcement of policies and procedures
- Regulatory filing and reporting, working with internal and external audit teams as needed
- Working with the firm's CCO to help guide the new platform through future regulatory exams
- Ad-hoc projects as deemed necessary by the Chief Compliance Officer, Director of Compliance, and the executive management team
The Compliance Associate should have the following qualifications:
- Series 7 and 24 licenses
- Experience working with a variety of compliance responsibilities, including trade surveillance, outgoing electronic communication review, marketing review, maintenance of restricted lists, client on-boarding review, and regulatory reporting and filing.
- Strong communication skills and the ability to function both independently and as part of a larger team
- A strong understanding of Broker-Dealer middle and back-office trading operations
If you are interested in the Compliance Associate role, then please don't wait to apply
