Summary: A boutique investment bank - capital markets and proprietary investments firm, with offices across the country is seeking a Compliance Officer, to join a small and supportive team at their HQ in downtown Chicago. The firm specializes in providing clients with capital raising, advisory services, fixed income sales, credit analytics, underwriting and trading. If you're interested in joining an employee-owned bank that: prioritizes work-life balance; is committed to a hybrid work environment (3 days in office 2 days remote); builds community through social events (live music on their downtown rooftop); and offers employees bonuses and stock options - keep reading.
Key Responsibilities:
* Conducts annual compliance examinations within the required timeframe (in accordance with the annual examination program and in conjunction with the CCO)
* Schedules and coordinates site and/or records exams; prepares for exams by reviewing and analyzing system-generated reports, file data, and written supervisory procedures
* Performs reviews of supervisory, sales, and office support functions in accordance with annual Exam Program and protocols
* Communicates exam results, including presenting identified issues, to and preparing a written report for Management and the CCO, as necessary
* Conducts ongoing surveillance of the business unit's activities to ensure compliance with federal securities laws and regulations
* When exceptions are noted on a regular basis, provides recommendations to CCO and management for correction
* Reviews and approves advertising materials
* Work closely with marketing and management
* Ensure filing with the FINRA is done in a timely manner and that comments are resolved
* Monitor social media policy and electronic communications for firm
* Monitor firm Anti-Money Laundry policy, activities and regulatory reporting
* As requested, conducts and/or participates in training of all associates on compliance and/or industry-related topics
Key Qualifications:
* Bachelors' degree
* Work experience in the financial, investment and private equity industries
* Proficiency in MS Office products
* Must have Series 7 and 24 registrations (REQUIRED)
* Must be a team player, be able to work in a fast-paced environment, have good oral and written communication skills and handle multiple tasks efficiently
* Must be willing to obtain, Series, 50, 52, 53, 54, 79 registrations
Benefits:
* Amazing benefits, including generous 401K matching, performance bonuses, stock options
* Flexibility to work from home part of the week, and generous PTO
* Firm sponsored social events, solid work-life balance
Interested in this Compliance Analyst role? Apply for immediate consideration.
