Compliance Analyst | Financial Services
Interested in this role You can find all the relevant information in the description below.
We’re partnering with a financial services firm seeking an experienced compliance professional to support its regulatory obligations and ongoing compliance activities.
Key Responsibilities
- Provide guidance on applicable securities regulations and evolving requirements.
- Support compliance monitoring, testing, and the review of policies and supervisory procedures.
- Coordinate responses to regulatory reviews, examinations, and requests.
- Work with internal teams to strengthen controls across business operations and trading activities.
- Assist senior compliance leadership with day-to-day matters and broader initiatives.
Qualifications
- Substantial compliance or advisory experience supporting a FINRA-registered broker-dealer.
- Experience handling regulatory examinations and interacting with regulators preferred.
- Familiarity with trading operations, technology, and controls preferred.
- Knowledge of multiple asset classes desirable.
- Series 24 required. Additional registrations and a J.D. are a plus.
- Must be authorized to work in the United States. xhqgsiq
For further details, please apply or contact us for a confidential discussion.
Compliance Analyst in chicago at Unknown Company
This position is listed as full time and onsite.