Senior Compliance Officer - Surveillance
An up and coming fintech firm in Chicago is looking to hire a Senior Compliance Officer. In this key role, you will help ensure that both the broker-dealer firm and its registered representatives remain fully compliant with FINRA and SEC regulations. As a vital member of a lean and dynamic compliance team, you'll collaborate across departments to strengthen and promote a culture of compliance throughout the firm.
Key Responsibilities:
- Conduct ongoing surveillance of the firm and its registered representatives to ensure regulatory compliance.
- Stay current on regulatory developments and recommend updates to internal procedures and compliance programs to the Chief Compliance Officer (CCO).
- Collaborate with institutional and insurance business units to identify compliance risks and provide timely, strategic guidance across multiple business lines.
- Evaluate and enhance the firm's trade surveillance program to improve efficiency and align with regulatory standards and industry best practices.
- Apply (Reg BI) and suitability standards in the review of annuity applications.
- Review and approve marketing and communications materials for both institutional and retail audiences.
- Research training requirements in response to evolving regulations and support the development of related compliance training programs.
- Participate in internal and external audits, including annual and regulatory reviews.
- Provide expert advice on investment-related compliance issues and respond to inquiries involving FINRA and SEC regulations.
- Support special projects, ad hoc initiatives, and other compliance-related tasks as assigned by the CCO.
Key Requirements:
- 5+ years of relevant compliance experience in the financial services or trading industry; investment advisor experience preferred
- Knowledge of the 1933 & 1934 Act, Investment Advisors Act of 1940, and FINRA, SEC, MSRB and DOL regulations
- FINRA Series 7 and 24 required
- Bachelor's Degree required
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