New job Compliance Analyst Chicago

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Compliance Analyst Chicago Gerald Elliott posted a job: Compliance Analyst Chicago "A leading global electronic market maker in Equities and Options, seeks a talented individual to join their Compliance, Legal and Government & Regulatory Affairs Team as a Compliance Analyst.    The Compliance Analyst will initially be responsible for learning and owning core compliance functions beginning with administration, registration & training, and assisting in all other areas which vary in scope and complexity.  The ideal candidate will be able to take on diverse and important responsibilities, working closely with compliance and business personnel globally.     Responsibilities  Include:   Technological development & process enhancements o Create and implement controls and procedures including o assisting in drafting and revising compliance manuals (i.e. written supervisory procedures, business continuity plans, anti-money laundering policies) o monitoring firm trading activity and system clock synchronization o assisting with review of trading surveillance reports 0 Automate manual processes and reports 0 Drive process efficiencies and improvements through innovation   Review and analysis * Conduct daily, weekly, monthly, quarterly and annual compliance reviews * Perform Anti-Money Laundering and OFAC reviews * Assist with monthly brokerage statement review and data basing * Conduct internal inspections for compliance under the firm’s written supervisory system * Assist with collection of documents for regulatory inquiries and exams * Serve as a resource for compliance/regulatory questions relating to the firm’s business * Assist in research of exchange rules and regulations   Operational * Track and ensure associates’ compliance with continuing education requirements * Process and maintain associates’ security licenses and registrations via the FINRA CRD system * Submit time sensitive regulatory filings   Qualifications: * Bachelor’s Degree * FINRA Licenses 7 required and 24 preferred or obtained with 6 months * Three or more year’s Compliance experience within the securities industry experience preferred * Excellent verbal and written communication skills Strong technological aptitude.  Proficient use of querying and other software tools within the first year expected.  Example of technology utilized: Microsoft Office (Excel, Access, Word, Visio) Compliance software:  FINRA Gateway, Web CRD, Complinet, Prometric, etc. SQL, Object oriented programming with a preference to.NET, etc. To apply please submit your resume to Info@compliancesearch.com"

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