COMPLIANCE OFFICER recruitment
COMPLIANCE OFFICER
Prominent Chicago bank-owned international futures, equities, and options clearing brokerage firm is looking for an experienced Compliance Officer.
This position reports to the CCO supporting all firm-wide compliance work designed to ensure that the firm’s activities, policies and procedures are in compliance with the various regulatory organizations.
Job Responsibilities Include:
- Participate in the development and maintenance of comprehensive written supervisory procedures
- Work closely with various departments within the firm to provide analysis and a resolution on compliance matters
- Assist in conducting on-going surveillance, reviews and testing and maintaining proper documentation of all reviews conducted by the compliance department
- Research and respond to regulatory inquiries, as necessary
- Assist in internal and external examinations, including follow-up actions
- Participate in development and implementation of employee training, including continuing education
- Assist in tracking/documenting compliance projects, registration requirements and compliance affirmations
- Keep abreast of external compliance rules and regulatory requirements
- Perform other compliance duties, as necessary
Job Requirements:
- Bachelors degree required
- Series 7 required, Series 3 preferred
- Minimum of 7 years experience in securities and futures compliance
- Broad knowledge of broker-dealer operations
- Ability to work both independently and in a team environment
Great opportunity to work for a dynamic, fast paced international brokerage firm located near the Chicago Board of Trade, close to trains. Generous benefit package, including 3 weeks vacation, 401k plan, and annual bonus. Please send resume in confidence to our HR Consultant.
PARKWAY CONSULTING
pat@parkwayconsulting.com
Parkway is a Chicago-based human resources consulting firm, with a broad client base encompassing the financial services industry (including asset classes in futures, equities, options), proprietary trading, venture capital, and exchanges.