Compliance Officer Job at Larson Maddox, Chicago, IL

ODZyVW03L1dtWkJYZVVxUWhWaldVdkN5Z1E9PQ==
  • Larson Maddox
  • Chicago, IL

Job Description

We have a current opportunity for a Compliance Officer on a permanent basis. The position will be based in Chicago. For further information about this position please apply.

Responsibilities:

  • Manage FINRA CRD, including the Firm's BD licenses, individual U-4 registrations, and exchange memberships.
  • Perform routine and daily surveillance reviews involving the Firm's trading activity and regulatory requirements.
  • Assist with the management and maintenance of the Firm's market data reporting.
  • Collaborate with exchanges and vendors on operational setups and maintenance.
  • Work with Trading and Technology teams to ensure the Firm's compliance report suite is current and accurate.
  • Assist with the preparation and execution of the Firm's regulatory inquiries and exams.
  • Collaborate closely with the Firm's Operations team to streamline and improve current processes.
  • Assist with the maintenance and expansion of the Firm's Written Supervisory Procedures and related records and surveillance.
  • Review existing compliance practices against regulatory requirements and industry best practices.

Required Skills:

  • Ability to work and succeed independently as well as in a team environment.
  • Outstanding organizational skills and strong attention to detail in a fast-paced environment.
  • Exceptional written and verbal communication skills.
  • Minimum of 5 years of relevant work experience with a trading firm, regulator, or an exchange.
  • Advanced knowledge of SEC, FINRA, CFTC, SRO rules and regulations.
  • Knowledge of AML/OFAC/KYC regulations.
  • Working knowledge of VBA and/or SQL.
  • Bachelor's degree.
  • Series 3, 7, or 24 is preferred.

Job Tags

Permanent employment, Full time, Work experience placement,

Similar Jobs

Curare Physician Recruiting

Visa Sponsorship Available for Emergency Medicine Physician in New England Job at Curare Physician Recruiting

 ...schedules, generally working three 12-hour shifts one week, and four the next. Full time, per diem, and part-time options available. J1 & H1B visas available. 24-hour ED which sees about 16,000 visits per year. Level II trauma center. Full time, Part Time and Per Diem options... 

American Interiors

Interior Designer Job at American Interiors

 ...professional customer interface by attending client planning meetingsPerforms programming, space planning, furniture selection, layout, product pricing, design and selection of finishes, includes as-built drawings, block plans, test-fits and finished working drawings... 

SEGA OF AMERICA INC

Release Manager Job at SEGA OF AMERICA INC

 ...been a more exciting time in the company's history to join SEGA! Job Summary: This role will report to the Director of Release Management and manage daily operations for publishing all titles in the global SEGA portfolio (JP/Asia, NASA, EMEA) for pre-, post-, and... 

Rehab America LLC

Speech Language Pathologist- PRN - Clarksville, TN Job at Rehab America LLC

 ...difference in patient lives at Rehab America: The Staff Speech-Language Pathologist is responsible for the assessment and treatment of patients...  ...for swallowing or speech-language intervention. The staff SLP acts as a resource to other program staff and to the facility... 

Tata Consultancy Service Limited

ReactJS Developer Job at Tata Consultancy Service Limited

 ...experience in software development in UI Technologies ~3+ years of expert level Javascript experience with React, Redux, Saga, ES6, HTML 5, CSS, JavaScript or equivalent experience ~ Experience in Source code repositories like Github ~ Experience with web...