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Compliance Analyst
Click
Here To Apply Now!
$70-80K
Seeking a Compliance Analyst with a strong
compliance and/or regulatory background.
Responsibilities:
-Assist with the development and execution of
an annual internal compliance testing program.
-Analyze test results and assist internal business
clients with any identified regulatory gaps
or deficiencies.
-Present the test results to senior management.
-Assist the Director of Compliance and the Chief
Compliance Officer with the annual compliance
report.
-Ensure daily compliance with applicable regulations
as well as internal company rules and by-laws.
-Work with external regulators during exams
and visits.
-Review and update changes to the Compliance
manual.
This role will be viewed as an integral part
of the growing Compliance Department. The 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.
Requirements:
-3+ years experience with areas described above.
-SEC, CFTC or options exchange experience a
plus.
-Knowledge of federal securities laws and commodities
laws is strongly preferred.
-College degree required. Advanced degree a
plus.
-Excellent organizational, written and oral
communication skills.
-Comprehensive analytical, conceptual, and problem
solving skills.
-Ability to manage and prioritize assignments
and respond to rapidly shifting priorities.
-Ability to work collaboratively with internal
business clients from different departments
and at various levels of seniority.
-Audit background or experience a plus.
Jobs, Chicago, Compliance Analyst, Compliance,
Regulatory, Auditing, SEC, CFTC, Options, Securities
Recruiting
services by Next Step Systems - www.nextstepsystems.com
For more information about this opportunity
contact:
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