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Senior Compliance Officer

2 months ago

Chicago, United States Larson Maddox Full time

An investment firm in Chicago is looking to bring on a Senior Compliance Officer that is well versed in FINRA and SEC regulations holding their Series 7 and Series 24 licenses. This role provides the oppportunity for growth and devlopment while reporting directly into the CCO. For work strcuture, this position sits in a flexible hybrid schedule.


Responsibilities:

  • Assist in monitoring the activities of registered representatives and the firm.
  • Track regulatory updates and recommend enhancements to business unit procedures and the company's compliance programs to the Chief Compliance Officer (CCO).
  • Collaborate with all institutional and insurance business units to identify key risks and provide timely, thoughtful compliance guidance across various business lines.
  • Evaluate the current trade surveillance program to identify improvement opportunities, enhancing efficiency and ensuring compliance with regulatory requirements and industry best practices.
  • Apply Reg BI and Suitability standards in reviewing annuity applications.
  • Review and approve marketing materials for both institutional and customer use.
  • Research and provide guidance on training requirements based on new or changing industry regulations and related compliance policies.
  • Participate in annual and regulatory audits.
  • Consult on investment-related, FINRA, and SEC compliance issues as necessary.
  • Assist with special projects, ad hoc assignments, and other compliance-related matters as directed by the CCO.


Requirements:

  • 4+ years of relevant compliance experience in an investment or trading firm; investment advisor experience preferred
  • Series 7, 24 licenses required
  • Understanding of the 1933 & 1934 Act, Investment Advisors Act of 1940, and FINRA, SEC, MSRB and DOL regulations
  • Bachelor’s degree required
  • Experience with institutional firms and trade desk and annuity compliance preferred


Apply in if you think this could be a fit