SR Compliance Analyst

Chicago, IL

Post Date: 09/01/2016 Job ID: 7931 Category: Accounting/Finance

The Compliance department at OP’ s client is looking to add a compliance " generalist" to assist the Compliance department in maintaining an effective and efficient compliance program.  This person will wear multiple hats within the organization to promote compliance with a variety of regulatory requirements that impact the company and its operations. 

What you' ll do:
  • Maintain and review policies, procedures, and practices to help ensure compliance with laws and regulations.  Recommend changes to existing policies and procedures as necessary in response to business and regulatory changes or ideas to improve efficiency.
  • Maintain accurate, organized and current compliance records that allow the Firm to quickly respond to any inquiry or audit.
  • Monitor trading activity using real time alerts and various reports.  Analyze and compile data into meaningful summaries, update log files and identify trends in a timely manner; making findings available to the team.   
  • Prepare well researched and professional responses to audits and inquiries from exchanges and other regulatory bodies. 
  • Work with development staff to create and improve compliance surveillance and monitoring program.
  • Manage the Compliance SharePoint pages and Confluence material to help ensure all documentation is current and up to date. 
  • Manage the internal audit function for the Compliance department including an annual compliance review for all client entities and other internal audits as necessary to ensure supervisory procedures are adequate and properly documented.
  • Prepare and deliver educational programs such as new hire orientation, annual compliance meeting and trading team updates. Continually evaluate educational programs and make improvements as necessary.
  • Monitor proposed regulation, comment letters and enforcement actions to communicate the potential impact to the Firm.

 

Skills you need: 
  • Experience in all areas of regulatory compliance and risks related to the rules and regulations of the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), various SRO’ s including the Chicago Stock Exchange, National Futures Association (NFA), Commodity Futures Trading Commission (CFTC) and other federal, state and local regulations and laws
  • 5-plus years of regulatory compliance experience working for a trading firm
  • Strong interpersonal, organizational, and time management skills
  • Strong financial industry business knowledge
  • FINRA Series License numbers 7 and 24 (preferred)
  • Excellent verbal and written communication skills
  • Excellent computer skills in MS Office and SharePoint applications
  • Experience with FINRA and Web CRD

 
Compliance Analyst

Evan Pollock


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