Compliance Officer
Location: Wheaton, IL Type: Contract Job #28481 Salary: $75.00 – $150,000 IFG’s financial services client is seeking a contract or contract-to-hire Compliance Officer who will ensure adherence to regulatory requirements and internal policies, so expert knowledge of SEC RIA, FINRA, and other industry regulations is required Responsibilities Administer and oversee the firm’s compliance and documentation system Monitor and ensure compliance with SEC requirements related to registration, licensing, training, and regulatory filings Assist in developing, maintaining, and implementing compliance policies and procedures to meet legal and regulatory standards Review and manage compliance with state laws, including annual renewals and associated recordkeeping Provide support during regulatory examinations and inquiries, including issue tracking, communication with business units, and drafting responses Serve as a compliance resource for senior leadership on special projects, regulatory initiatives, and policy interpretation Participate in various compliance-related tasks and special projects as needed Qualifications Experience in the financial services preferably the broker dealer/investment advisory industries. For immediate consideration, please email your resume to ericmaleski@ifgus.com Apply Now