Compliance Senior – Chicago Clearing Organization recruitment
This is a highly visible role within the firm that will require you to manage information and data for multiple business units and communicate regularly with senior management. Role requires very strong communication skills and an understanding of corporate compliance.
Duties include:
- This role will be viewed as an integral part of the growing Compliance Department. The Senior Compliance Analyst will work on a daily basis with the Director of Compliance and have the opportunity to eventually manage staff as the team expands.
- Assisting with the development and execution of an annual internal compliance testing program;
- Analyzing test results and assisting the internal business clients with any identified regulatory gaps or deficiencies;
- Presenting the test results to senior management;
- Leading and facilitating meetings and/or training sessions;
- Assisting the Director of Compliance and the Chief Compliance Officer with the annual compliance report;
- Ensuring daily compliance with applicable regulations as well as internal rules and by-laws;
- Working with external regulators during exams and visits;
- Reviewing and updating changes to the Firm Compliance manual.
This firm has a tenured senior management that values their staff and understands the importance of a good work environment. They pay above market and have zero out of pocket costs for medical benefits.
Professional Qualifications
• 3+ years regulatory /strong compliance experience. Someone with an Audit or control testing background strongly preferred.
• SEC, CFTC or options exchange experience a plus
• Knowledge of federal securities laws and commodities laws is strongly preferred
• Excellent organizational, written and verbal communication skills
• Comprehensive analytical, conceptual, and problem solving skills
• Ability to manage and prioritize assignments and respond rapidly to shifting priorities
• Ability to work collaboratively with internal business clients from different departments and at various levels of seniority.
For immediate consideration email erin.cook@roberthalffsg.com