Compliance Senior Advisory Analyst
A leading Chicago based futures brokerage and clearing firm is hiring for the role of Compliance Senior Advisory Analyst. This privately owned company provides full services to its impressive network of clients through using the latest in technology paired with remarkable customer service. Join this collaborative, innovative, and supportive team to advance your career and work with the industry's best!
In this role you will:
- Perform desk audits and trade surveillance for OTC (EFRP, block trade, and swap) transactions
- Provide compliance training to members throughout the organization
- Communicate and surveil office personnel to ensure communications are being conducted in accordance with relevant policies
- Investigate, identify, evaluate, and develop effective solutions to potential procedural issues
- Advise various organizational teams, including brokers and internal departments, on compliance matters
- Support Compliance management with special projects when neededS
You must have:
- 3+ years of experience in a compliance, regulatory, or related financial role
- Bachelor's Degree or suitable work experience, a major in areas such as Finance, Accounting, Economics, or Business Administration is preferred
- Strong understanding of financial market rules regulations, and market structure (e.g., CME, NFA, ICE, and CFTC)
- A broad knowledge of principles, practice, and procedures of futures industry regulation
- Excellent interpersonal skills and ability to work in a small-team environment
Benefits:
- Competitive salary
- Full benefits (medical/dental/vision/401k)
- Growth potential