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Compliance Officer

3 months ago

Chicago, United States Intelliswift Software Full time

Job Title: Compliance Officer

Location: Chicago, IL (Hybrid)

Duration: 4 months

Contract Type: W2 only

Pay Rate Range: $36.00 - $41.00/Hour


Role Responsibilities:

  • Registering all individuals for current client roles in according with FINRA.
  • Monitor and ensure items such as registrations, licenses, exams, study orders, continuing education requirements are all accurate and on time.
  • Track and follow up on outstanding compliance requirements.
  • Handle ad hoc FINRA Inquiries
  • Analyzing data downloads.


Must Have Skills:

  • 5 years experience within Security, Compliance and Regulatory Governance.
  • MS Office experience (Excel, Word etc).
  • Organized and able to multitask.
  • Able to think outside the box when a solution is needed (candidates should be able to apply their process knowledge but then think on their feet to solve problems strategically)


Nice to Have Skills:

  • Bachelor’s degree or MBA
  • Exposure to FINRA gateway
  • Knowledge of U4/U5 forms
  • Experience with National Futures Association