Compliance Officer
Duration 4 months
Working hours: 8:30am-5pm or 9am-5:30pm Mon-Fri
Working Location: Chicago
Role Mandate: The US Registrations team is looking to backfill a associate who will be leaving on mat leave in the early new year. The selected candidate will work in partnership with a senior associate and will support the team managing regulatory governance projects in accordance with FINRA requirements.
Role Responsibilities:
• Registering all individuals for current roles in according with FINRA
• Monitor and ensure items such as registrations, licenses, exams, study orders, continuing education requirements are all accurate and on time
• Track and follow up on outstanding compliance requirements
• Handle ad hoc FINRA Inquiries
• Analyzing data downloads
Must Have Skills:
• 5 years experience within Security, Compliance and Regulatory Governance
• MS Office experience (Excel, Word etc)
• Organized and able to multitask
• Able to think outside the box when a solution is needed (candidates should be able to apply their process knowledge but then think on their feet to solve problems strategically)
Nice to Have Skills:
• Bachelor’s degree or MBA
• Exposure to FINRA gateway
• Knowledge of U4/U5 forms
• Experience with National Futures Association