Compliance Associate

4 weeks ago


Chicago, United States Rothschild Investment Corporation Full time

We'll be hiring a compliance/operations associate. Responsible for tasks involving Broker Dealer and Registered Investment Advisor regulatory compliance.

The ideal person will be detail-oriented, while also having a strong desire to take charge and build out our internal compliance department, working with our CCO and CFO.

Primary Responsibilities:

  • Perform daily trade reviews, ensure Reg BI compliance, new accounts review.
  • Monitor employee activity including outside brokerage accounts, daily exceptions, outside business activities, state registrations, and others.
  • Distribute and review affirmations including quarterly and annual compliance affirmations, and other required acknowledgements, as needed, for compliance with firm policies and procedures.
  • Manage necessary filings including quarterly 13F, annual ADV, among others.
  • Assist with regulatory examinations, audits, and inquiries Complete due diligence on vendors and asset managers, namely alternative investments.
  • Review transactions, products, and business development initiatives to identify potential risk and advise on compliance mitigation.
  • Administer and assist in the development and maintenance of compliance policies and procedures; evaluate regulatory updates for impact on the business help implement policies and procedures to address relevant changes.
  • Perform other compliance/operations projects as assigned.

Preferred Qualifications:

  • Bachelors Degree preferred or equivalent work experience.
  • 2+ years compliance experience (with investment advisor act experience preferred).
  • Relevant Securities Licensing, Series 24 or willingness to obtain it within 3 months of hire.
  • Detail oriented with strong organizational and follow-through skills.
  • Team oriented and willingness to share ideas.
  • Strong computer skills in Microsoft Word, Excel, Outlook, and PowerPoint.

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