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Company Summary: A well-established RIA in Chicago is launching a new Broker-Dealer platform and are looking for a talented Compliance Associateto 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 onboarding 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