TITLE: Compliance Analyst (Legal & Compliance) (867-2)
LOCATION: Chicago
DATES: Start ASAP
COMPENSATION: Depends on experience
SUMMARY:
Global financial services firm seeks a Compliance Analyst to provide day-to-day compliance function support to the Chief Compliance Officer and Senior Compliance Officer in the Legal/Compliance Department.
RESPONSIBILITIES:
Assist with testing/reviewing/updating/
Maintain internal controls in order to detect violations of compliance policies/procedures, including Code of Conduct/Information Barriers/Personal Trading/Client Trading
Prepare/file periodic regulatory reports
Conduct electronic communication surveillance
Review compliance surveillance reports and investigate exceptions
Answer employee questions concerning the firm's compliance policies/procedures
Assist with on-boarding of new hires, including assisting with required disclosures
Coordinate/schedule compliance trainings/meetings
Assist in responding to regulatory inquiries/examinations
Assist in the development/updates of surveillance routines/reports
REQUIREMENTS:
Relevant undergraduate degree (business/finance/accounting)
2+ years of experience in financial services required; experience in investment advisor compliance (investment advisor compliance department, the SEC or a compliance consulting firm) considered a plus
Good general understanding of the financial markets
Strong communication skills (verbal/written)
Strong detail-oriented organizational/problem solving skills
Must be comfortable in a fast-paced environment
Self-starter able to work with minimal supervision, respond to managerial direction, complete tasks on time, and take responsibility for actions
Project management; manage several competing assignments and perform them in an accurate/timely manner
Balances team/individual responsibilities; exhibits objectivity/openness to new ideas and welcomes feedback
Demonstrates initiative; ability to identify compliance risks and steps to prevent and/or mitigate risks
Proven ability to handle business-sensitive/
Demonstrated high level of proficiency with Microsoft Office Suite (Word/Excel/PowerPoint/etc.)
Computer skills, experience with compliance software systems preferred
Any networking assistance that you can provide would be greatly appreciated.
Thank you,
Kelly Axelson
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
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