Compliance Analyst
Location: Chicago, IL
On-site
My client is is looking for an experienced Compliance Analyst with a solid understanding of options and futures. This person will assist and report to the CCO for all compliance management needs.
Responsibilities:
- Manage form filings, securities registration/licensing, and SRO Exchange registration through the FINRA Web CRD portal (Form BD, U4, U5)
- Assist in the development of additional regulatory filings, draft compliance and written supervisory procedures
- Perform compliance training to management and staff, including but not limited to preparing routine educational presentations
- Facilitate rule interpretation and provide support to staff where necessary
Requirements:
- Bachelor's Degree in relevant field
- 2+ years' experience in compliance
- Knowledge of electronic trading, specifically options and futures
