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Compliance Officer
3 months ago
Job Title: Compliance Officer
Duration: 4 Months
Location: Chicago, IL 60606 - Hybrid
Intelliswift Software Inc. conceptualizes, builds, and supports the world's most amazing technology products and solutions. Our team of rich experts from diverse backgrounds contributes to making Intelliswift one of the most reliable partners in IT and Talent solutions. We specialize in delivering world-class Digital Product Engineering, Data Management and Analytics, and Staffing Solutions services to Fortune companies, SMBs, ISVs, and fast-growing startups.
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
Equal Employment Opportunity Statement
Intelliswift celebrates a diverse and inclusive workforce. We offer equal employment opportunities to all applicants and employees. All qualified applicants will be considered regardless of race, color, sex, gender identity, gender expressions, religion, age, national origin or ancestry, citizenship, physical or mental disability, medical condition, family care status, marital status, domestic partner status, sexual orientation, genetic information, military or veteran status, or any other protected basis under the law.
Americans with Disabilities Act (ADA)
If you require a reasonable accommodation in completing this application, interviewing, completing any pre-employment testing, or otherwise participating in the employee selection process, please contact Intelliswift Human Resources Department
Other Employment Statements
Intelliswift participates in the E-Verify program.
Learn More
For information on Intelliswift Software, Inc., visit our website at www.intelliswift.com.
