A Chicago based investment firm is looking for a highly motivated and detail-oriented individual to add to their team as a Compliance Officer.
The Compliance Officer is responsible for ensuring that the company adheres to all applicable laws, regulations, and industry standards related to investment activities. This includes the development, implementation, and maintenance of policies and procedures to prevent non-compliance, as well as monitoring and reporting on compliance activities within the firm. The Compliance Officer will also be responsible for educating employees and management about compliance issues and providing guidance on how to address them.
- Develop, implement, and maintain policies and procedures to prevent non-compliance with FINRA and SEC rules and regulations, and industry standards related to investment activities.
- Monitor and report on compliance activities within the firm, including the review of investment transactions and the conduct of compliance testing.
- Lead the review of institutional and retail marketing materials and channels for compliance with SEC and FINRA content standards and filing requirements.
- Investigate and resolve any compliance concerns or violations that arise.
- Educate employees and management about compliance issues and provide guidance on how to address them.
- Manage firm's AML compliance program, including review and maintenance of AML procedures and administering AML trainings.
- Bachelor's degree in a related field, such as finance, business, or law.
- Minimum of 5 years of experience in a compliance role with a FINRA-registered broker-dealer and/or regulator
- Series 7 FINRA license, must be willing to obtain Series 24 as well
- Strong knowledge of the securities industry and regulations related to registered broker-dealers, including the Securities Act of 1933 and Securities Exchange Act of 1934, as well as FINRA guidelines and MSRB rules.
- Excellent written and verbal communication skills.
- Ability to work independently and in a team environment.
- Full benefits (health/dental/vision/401k match)
- Hybrid schedule
- Growth potential