
Compliance Analyst
3 weeks ago
Phillip Capital Inc. Employment Opportunity in Chicago or New York
Compliance Analyst
Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). We offer the opportunity to grow your skills and make meaningful, visible contributions to both your team and the company. We believe in integrity, accountability, open communication, and continual improvement to build for the long term. Philip Capital, Inc. is growing and looking to establish a presence in the financial district of New York.
The ideal candidate possesses a proactive, hands-on style and deep experience that will contribute directly to expanding the company’s capabilities. The candidate should be self-motivated and able to simultaneously manage multiple, time-sensitive tasks.
Responsibilities
- Proactively assess the regulatory landscape and provide guidance on complex regulatory issues.
- Assist with the day-to-day activity of the broker-dealer monitoring and supervising activities of registered representatives
- Perform review of email surveillance, escalating items to the CCO as needed
- Develop, review and monitor Firm’s WSP’s in response to changing regulations and Firm policies
- Create and monitor staff training and licensing requirements (CE, Forms BD/U4/U5).
- Advertising review and tracking.
- Conduct AML reviews and perform ongoing monitoring of clients.
- Assist in the management of regulatory inquiries/examinations by regulators.
- Monitor changes in regulatory environments and update internal policies and procedures accordingly.
- Keep department heads abreast of changes to securities regulations.
- Advocate for compliance and explain regulations across the firm.
- Assist with review of compliance monitoring and testing program as needed, including input and preparation of FINRA, NFA, and CFTC annual reports
- 3120 and 3130 report development and aggregation.
- Support the CCO to proactively maintain a positive relationship with all regulators.
- Perform other duties and special project work as assigned.
Qualifications
- Bachelor’s degree in related field.
- Minimum 5-10 years working in a compliance role in a Broker Dealer.
- Knowledge of the SRO, Broker Dealer environment, equities, options and equity-linked products.
- Excellent critical thinking and communication skills, both written and verbal.
- Ability to quickly learn and understand the business model for areas under review.
- High proficiency with desktop applications and MS Office suite of products is required.
- Knowledge of international business beneficial incl KYC/AML.
- Securities License 7 and 24. JD, a plus.
- Clearing Compliance experience, a plus.
This opportunity provides a high-influence position within a growing global business located in the heart of Chicago’s financial district. Phillip Capital Inc. believes a long-term business is built on integrity and being responsive to customers.
To be considered for this position, please send a resume to careers@phillipcapital.com with “Compliance Analyst” in the subject line. Phillip Capital Inc. will not consider candidates sent by recruiters for this position.
-
Compliance Analyst
6 days ago
Chicago, Illinois, United States Procom Full timeCompliance AnalystOn behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst.Compliance Analyst - Job Description Registering all individuals for current roles in accordance with FINRA Monitor and ensure items such as registrations, licenses, exams, study orders, and continuing education requirements are all accurate and on...
-
Compliance Analyst
1 week ago
Chicago, United States Phillip Capital Inc. Full timePhillip Capital Inc. Employment Opportunity in Chicago or New York Compliance Analyst Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). We offer the opportunity to grow your skills and make meaningful, visible contributions to both your team and the...
-
Compliance Analyst
1 week ago
Chicago, United States Phillip Capital Inc. Full timePhillip Capital Inc. Employment Opportunity in Chicago or New York Compliance Analyst Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). We offer the opportunity to grow your skills and make meaningful, visible contributions to both your team and the...
-
Compliance Analyst
18 hours ago
chicago, United States Phillip Capital Inc. Full timePhillip Capital Inc. Employment Opportunity in Chicago or New York Compliance Analyst Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). We offer the opportunity to grow your skills and make meaningful, visible contributions to both your team...
-
Compliance and Regulatory Analyst
5 days ago
Chicago, Illinois, United States Wellington Insurance Group Full timeAbout Wellington ManagementWe are a private partnership dedicated to providing comprehensive investment management services to institutional clients worldwide. Our commitment to delivering high-quality investment solutions has earned us a reputation as a trusted partner in the investment industry.The OpportunityWe are currently seeking a Senior Guideline...
-
Compliance Analyst
3 weeks ago
Chicago, IL, United States Phillip Capital Inc. Full timePhillip Capital Inc. Employment Opportunity in Chicago or New York Compliance Analyst Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). We offer the opportunity to grow your skills and make meaningful, visible contributions to both your team and...
-
Risk Compliance Data Analyst
7 days ago
Chicago, Illinois, United States Saxon Global Full timeJob DescriptionSaxon Global seeks an experienced Risk Compliance Data Analyst to support various regulatory compliance projects requiring technical data analysis, design, and implementation.The ideal candidate will have a solid technical background with at least 10 years of demonstrated track record in end-to-end software development life cycle and...
-
Compliance Analyst
7 days ago
Chicago, Illinois, United States 1872 Consulting Full timeAbout Us:1872 Consulting is a leading provider of GRC solutions. We are currently seeking a highly skilled GRC Analyst to join our team.Job Summary:The GRC Analyst will be responsible for optimizing data management best practices and streamlining processes within our systems. This includes conducting analysis, identifying issues, and preparing...
-
Compliance Analyst
2 days ago
Chicago, Illinois, United States Adtalem Global Education Full timeWe are seeking a talented Compliance Analyst to join our team at Adtalem Global Education.Job DescriptionIn this role, you will work closely with business leaders, faculty, and external agencies to ensure compliance with state, federal, and accreditor regulations.You will be responsible for overseeing licensing approvals, providing expert regulatory...
-
Tax Analyst
7 days ago
Chicago, United States CNA Insurance Full timeYou have a clear vision of where your career can go. And we have the leadership to help you get there. At CNA, we strive to create a culture in which people know they matter and are part of something important, ensuring the abilities of all employees are used to their fullest potential. Do you have the skills to fill this role Read the complete details...
-
HMDA Compliance Analyst
1 week ago
Chicago, United States BritePros Medical Staffing Remote Work Freelance Full time $35HMDA Compliance Analyst – To $35/hr – Remote – (1099/Contract) - Job # 3452Who We AreThe Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & San Antonio, TX. Our nationally unique value proposition centers around providing the very best available banking and accounting talent. In fact, most of our recruiters are former...
-
Compliance and Reporting Analyst
5 days ago
North Chicago, Illinois, United States Mindlance Full timeAbout the RoleThis is an exciting opportunity to join our team at Mindlance as a Financial Analyst I. In this role, you will be responsible for supporting our payment processes for external consultant engagements. You will work closely with our team to develop and maintain necessary documentation according to departmental policies to meet quick turnarounds...
-
Tax Analyst
4 weeks ago
Chicago, United States CNA Insurance Full timeYou have a clear vision of where your career can go. And we have the leadership to help you get there. At CNA, we strive to create a culture in which people know they matter and are part of something important, ensuring the abilities of all employees are used to their fullest potential.Do you have the skills to fill this role Read the complete details below,...
-
Tax Analyst
3 weeks ago
Chicago, United States CNA Full timeYou have a clear vision of where your career can go. And we have the leadership to help you get there. At CNA, we strive to create a culture in which people know they matter and are part of something important, ensuring the abilities of all employees are used to their fullest potential. Are you a forward-thinking tax professional with a passion for...
-
Compliance Specialist
3 hours ago
Chicago, Illinois, United States Adtalem Global Education Full timeJob OverviewWe're looking for a highly skilled Senior Regulatory Affairs Analyst to join our team at Adtalem Global Education. This individual will be responsible for interpreting statutes, regulations, and administrative rules, developing procedures, and monitoring performance to ensure compliance.Main Responsibilities:Work collaboratively with colleagues...
-
Trade Compliance Analyst
5 days ago
Chicago, Illinois, United States National Futures Association Full timeNFA is purpose-driven. We safeguard the integrity of the derivatives markets, protect investors and ensure that our Members meet their regulatory obligations. We take pride in our work; maintain a conviction to do the right thing; empower each other; and support our community. Envision your career in a place where performing critical regulatory work within...
-
Analyst - Financial Advisor Compliance
3 days ago
Chicago, Illinois, United States Interactive Brokers Full timeCompany Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic...
-
Compliance Analyst
4 weeks ago
Richfield, OH, United States MobilityWorks Full timeMobilityWorks, serves the disabled community with wheelchair accessible minivans, full-size vans with lifts, as well as commercial fleet vehicles. Our mission is to provide wheelchair users with the mobility, independence, and personal freedom they desire. Keep reading to see how you can join the team leading this effort! **Hybrid Role out of...
-
Senior Trade Compliance Analyst
4 days ago
Chicago, Illinois, United States S&C Electric Company Full timeAs an S&C Electric team member, you'll work on projects that have real-world impact. You'll help transform the grid for resilient and reliable power worldwide. S&C has more than a 100-year history of innovation and has been 100% employee-owned since 2012. We continue this legacy as a trusted, forward-thinking leader in the electrical industry. You will...
-
Trade Compliance Analyst
18 hours ago
chicago, United States National Futures Association Full timeNFA is purpose-driven. We safeguard the integrity of the derivatives markets, protect investors and ensure that our Members meet their regulatory obligations. We take pride in our work; maintain a conviction to do the right thing; empower each other; and support our community. Envision your career in a place where performing critical regulatory work within...