Back Office Compliance Analyst

1 week ago

Chicago, United States Larson Maddox Full time

Position Overview:

We are seeking a detail-oriented and highly analytical Back Office Compliance Analyst. This role is critical in ensuring the accuracy and compliance of firmwide financial operations, particularly in the areas of dividend payments, corporate actions, FX spot trades, and P&L reconciliation. The ideal candidate will have a strong background in finance, exceptional problem-solving skills, and experience with VBA, SQL, and Python. Key Responsibilities: Dividend Reconciliation: Execute daily reconciliation of firmwide dividend payments, ensuring accuracy in gross amounts, tax deductions, and entitlements. Follow strict rules and regulatory compliance to maintain financial integrity. Corporate Actions: Analyze corporate actions and submit timely elections to prime brokers for various financial events. FX Spot Trades: Conduct FX spot trades to mitigate currency exposure risks and reduce financing costs. OTC Trading: Support OTC trading activities by ensuring accurate trade capture, confirmation, and settlement. Reconcile OTC trades, addressing discrepancies promptly to ensure smooth operations. Automated Reporting: Develop and maintain automated reporting systems to enhance operational efficiency using VBA, SQL, and Python. P&L Reconciliation: Manage daily P&L reconciliation for special situation trading accounts, including nightly estimate distribution, position, pricing, and interest reconciliation with prime brokers. Proactively resolve discrepancies, crucial for facilitating large trades. System Refinement: Partner with technology teams to refine internal systems for tracking dividends and accruals, ensuring system reliability. Project Management: Steer long-term projects aimed at standardizing internal bookkeeping and improving financial processes. Key Achievements: Standardization and Enhancements: Led projects to standardize internal bookkeeping records and enhance operational tools, resolving dividend reclaims with counterparties. Internal Cash Movement Tool: Planned, established, and enforced an internal cash movement tool in collaboration with the technology team to streamline operations and P&L reconciliation. Cost Savings: Saved the firm unnecessary costs by devising a coding solution to identify and correct erroneous financing charges on foreign currencies. Special Situation Trade: Ensured smooth operational flow for a record-breaking special situation trade, marking the largest trade in the firm's history. Equity Finance Team Support: Served as an integral part of the equity finance team, providing seamless trade support and account reconciliations while interacting with traders and operations colleagues. Qualifications: Bachelor’s degree in Finance, Accounting, Economics, or a related field. 3-5 years of relevant experience in a Hedge Fund or similar environment Work experience with OTC Trading Proven experience in financial operations, reconciliation, and automated reporting. Proficiency in VBA, SQL, and Python. Strong analytical and problem-solving skills. Excellent communication and teamwork abilities. Detail-oriented with a commitment to accuracy and compliance.

#J-18808-Ljbffr

  • Back Office Compliance Analyst

    2 weeks ago

    Chicago, United States Larson Maddox Full time

    Position Overview: We are seeking a detail-oriented and highly analytical Back Office Compliance Analyst. This role is critical in ensuring the accuracy and compliance of firmwide financial operations, particularly in the areas of dividend payments, corporate actions, FX spot trades, and P&L reconciliation. The ideal candidate will have a strong background...

  • Back Office Compliance Analyst

    2 weeks ago

    Chicago, United States Larson Maddox Full time

    Position Overview: We are seeking a detail-oriented and highly analytical Back Office Compliance Analyst. This role is critical in ensuring the accuracy and compliance of firmwide financial operations, particularly in the areas of dividend payments, corporate actions, FX spot trades, and P&L reconciliation. The ideal candidate will have a strong background...

  • Back Office Us Analyst

    5 days ago

    Chicago, United States RWE Supply & Trading Full time

    **Back Office US Analyst**: - **Location(s)**: - Chicago, IL, US, 60654 **RWE Supply & Trading Americas, LLC **, **Chicago** **To start as soon as possible, **full time / part time **, **permanent** **Functional area**:Commercial / Trading **Your Future Plans** Our Back Office US function at RWE Supply & Trading Americas (RWESTA) is responsible for...

  • Compliance Analyst

    2 weeks ago

    Chicago, Illinois, United States Procom Full time

    BMO is currently sourcing for a Compliance Analyst - Int position on a 4-month contract. Summary of Role:The Compliance Analyst - Int will work with the US Registrations team at BMO to manage regulatory governance projects in alignment with BMO and FINRA requirements.Project:Regulatory governance projects in alignment with BMO and FINRA requirements. Years...

  • Compliance Analyst

    3 weeks ago

    Chicago, United States HUB International Full time

    ABOUT US At HUB International, we are a team of entrepreneurs. We believe in empowering our clients, and we do so by protecting businesses and individuals in our local communities. We help businesses evaluate their risks and develop solutions tailored to their needs. We believe in empowering our employees. As a global firm, we offer employees resources in...

  • Compliance Analyst

    2 weeks ago

    Chicago, Illinois, United States Gresham Partners LLC Full time

    Founded in 1997, Gresham Partners, LLC is a $8 billion Chicago-based investment and wealth management firm serving a select group of ultra-high-net-worth families across the country. The firm is known for its independent thinking, investment approach, and performance results. Gresham Partners is seeking a candidate to join our firm as a Compliance Analyst in...

  • Compliance Analyst

    4 weeks ago

    Chicago, United States Harrison Gray Search Full time

    Harrison Gray Search has partnered with a unique investment management firm to find the next member of their Governance, Risk, and Compliance team in Chicago.The Governance, Risk & Compliance Analyst is responsible for identifying and mitigating risks across the department. These risks may include operational, regulatory, and compliance risks. The individual...

  • Compliance Analyst

    4 weeks ago

    Chicago, United States Harrison Gray Search Full time

    Harrison Gray Search has partnered with a unique investment management firm to find the next member of their Governance, Risk, and Compliance team in Chicago.The Governance, Risk & Compliance Analyst is responsible for identifying and mitigating risks across the department. These risks may include operational, regulatory, and compliance risks. The individual...

  • Compliance Analyst

    1 month ago

    Chicago, United States Gresham Partners, LLC Full time

    Founded in 1997, Gresham Partners, LLC is a $8 billion Chicago-based investment and wealth management firm serving a select group of ultra-high-net-worth families across the country. The firm is known for its independent thinking, investment approach, and performance results. Gresham Partners is seeking a candidate to join our firm as a Compliance Analyst...

  • Compliance Analyst

    4 weeks ago

    Chicago, United States Gresham Partners, LLC Full time

    Founded in 1997, Gresham Partners, LLC is a $8 billion Chicago-based investment and wealth management firm serving a select group of ultra-high-net-worth families across the country. The firm is known for its independent thinking, investment approach, and performance results. Gresham Partners is seeking a candidate to join our firm as a Compliance Analyst...

  • Compliance Analyst

    4 weeks ago

    Chicago, United States Gresham Partners, LLC Full time

    Founded in 1997, Gresham Partners, LLC is a $8 billion Chicago-based investment and wealth management firm serving a select group of ultra-high-net-worth families across the country. The firm is known for its independent thinking, investment approach, and performance results. Gresham Partners is seeking a candidate to join our firm as a Compliance Analyst...

  • Compliance Analyst

    4 weeks ago

    Chicago, United States GATX Full time

    Compliance Analyst Job Locations US-IL-Chicago ID 2024-3818 Category Legal Position Type Full Time Overview Founded in 1898 and headquartered in Chicago, IL, GATX Corporation (NYSE: GATX) is an industry leader with 125+ years of success-success that is powered by our people. We are proud of our high-performance culture, hard-working...

  • Compliance Analyst

    4 weeks ago

    Chicago, Illinois, United States GATX Full time

    Compliance AnalystJob LocationsUS-IL-ChicagoID CategoryLegalPosition TypeFull TimeOverviewFounded in 1898 and headquartered in Chicago, IL, GATX Corporation (NYSE: GATX) is an industry leader with 125+ years of success-success that is powered by our people. We are proud of our high-performance culture, hard-working and enthusiastic management team, and...

  • Banker - Compliance Analyst - Int:

    3 weeks ago

    Chicago, United States Akraya Full time

    Primary Skills: Regulatory Governance, Compliance, MS Office,Documentation Duration: 4 Months (Possible Extension) Contract Type: W 2 Only Location: Chicago, IL Pay Range:$38.00 - $40.00 per hour on W 2 "Work where you're valued and paid what you're Compliance Analyst, Banker, Compliance, Analyst, Staffing, Technology

  • Compliance Analyst

    2 weeks ago

    Chicago, Illinois, United States Cook County, IL Full time

    Job Summary The Compliance Analyst reflects the mission and vision of Cook County Health (CCH). The incumbent adheres to the organization's Code of Conduct and Corporate Compliance Program, and complies with all relevant policies, procedures, guidelines and all regulatory and accreditation standards. The Compliance Analyst within the Office of Corporate...

  • Banker - Compliance Analyst

    4 weeks ago

    Chicago, United States Talent Software Services Full time

    Banker - Compliance Analyst Job Summary: Talent Software Services is in search of a Banker - Compliance Analyst for a contract position in Chicago, IL. The opportunity will be four months with a strong chance for a long-term extension. Position Summary: Looking to backfill an associate who will be leaving on mat leave in the early new year. The selected...

  • Compliance Officer

    4 weeks ago

    Chicago, United States Simmons & Hanbury Full time

    Our client are a market-leading proprietary trading firm. They are seeking a Compliance Officer to join their Chicago offices. Role Specifications: Work with the Senior US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework. Review the Compliance Monitoring Plan and...

  • Compliance Officer

    3 weeks ago

    Chicago, United States Simmons & Hanbury Full time

    Our client are a market-leading proprietary trading firm. They are seeking a Compliance Officer to join their Chicago offices. Role Specifications: Work with the Senior US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework. Review the Compliance Monitoring Plan and...

  • Compliance Officer

    1 month ago

    Chicago, United States Simmons & Hanbury Full time

    Our client are a market-leading proprietary trading firm. They are seeking a Compliance Officer to join their Chicago offices.Role Specifications:Work with the Senior US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework.Review the Compliance Monitoring Plan and the...

  • Compliance Officer

    4 weeks ago

    Chicago, United States Simmons & Hanbury Full time

    Our client are a market-leading proprietary trading firm. They are seeking a Compliance Officer to join their Chicago offices.Role Specifications:Work with the Senior US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework.Review the Compliance Monitoring Plan and the...