Title: Compliance Coordinator (194-5)
Location: Western Chicago Suburbs
Compensation: Commensurate with experience
Summary:
Candidate will assist Compliance Department in employee transaction monitoring/registration and compliance review activities; candidate will also review employee securities transactions for compliance with Firm’s Code of Ethics, assist with compliance testing of broker/dealer and investment advisory activities, and assist in the preparation of required firm/employee registration filings. Compliance coordinator reports to the CCO.
Responsibilities:
Input employee trades into trade monitoring system
Compare employees’ monthly account statements to internal trade database
Send notification letters to broker/dealers when employee accounts are opened
Ongoing compliance monitoring/testing of broker/dealer and investment advisory activities
Prepare/file regulatory registration forms
Provide back-up coverage for Compliance Coordinators/Registration Coordinator
Assist CCO/Compliance Department with special projects
Requirements:
Bachelor’s degree required
Familiarity with broker/dealer or investment advisor compliance activities
Knowledge of WebCRD/FINRA registration rules
FINRA Series 7 preferred (Must be able to obtain within six months of hire)
Strong attention to detail/organizational skills
Ability to maintain information on a confidential basis
Previous experience using an online trading/clearing system strongly preferred
Ability to work under strict deadlines
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Lisa Curtin
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x117
lisa@brokerageconsultants.com
www.brokerageconsultants.com
Location: Western Chicago Suburbs
Compensation: Commensurate with experience
Summary:
Candidate will assist Compliance Department in employee transaction monitoring/registration and compliance review activities; candidate will also review employee securities transactions for compliance with Firm’s Code of Ethics, assist with compliance testing of broker/dealer and investment advisory activities, and assist in the preparation of required firm/employee registration filings. Compliance coordinator reports to the CCO.
Responsibilities:
Input employee trades into trade monitoring system
Compare employees’ monthly account statements to internal trade database
Send notification letters to broker/dealers when employee accounts are opened
Ongoing compliance monitoring/testing of broker/dealer and investment advisory activities
Prepare/file regulatory registration forms
Provide back-up coverage for Compliance Coordinators/Registration Coordinator
Assist CCO/Compliance Department with special projects
Requirements:
Bachelor’s degree required
Familiarity with broker/dealer or investment advisor compliance activities
Knowledge of WebCRD/FINRA registration rules
FINRA Series 7 preferred (Must be able to obtain within six months of hire)
Strong attention to detail/organizational skills
Ability to maintain information on a confidential basis
Previous experience using an online trading/clearing system strongly preferred
Ability to work under strict deadlines
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Lisa Curtin
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x117
lisa@brokerageconsultants.com
www.brokerageconsultants.com
No comments:
Post a Comment