We have a current opportunity for a Compliance Associate on a permanent basis. The position will be based in Naperville. For further information about this position please apply.
The Compliance Associate plays a pivotal role in administering the Compliance Program for each of the regulated entities. This position oversees employee affirmations and questionnaires, FINRA registrations, as well as a variety of ad-hoc assignments and projects
- Serve as the main point of contact for new hire onboarding requirements and conduct one-on-one meetings.
- Administer the Compliance Monitoring System, StarCompliance, including coordinating and testing version updates, identifying and implementing process improvements, and managing issues as they arise.
- Act as the point person for employee surveillance, which includes monitoring brokerage accounts, reviewing daily exceptions, overseeing outside business activities, and managing political contributions. Escalate concerns and enforce disciplinary actions, including issuing code violations.
- Approve and oversee gifts and entertainment reporting.
- Distribute and review affirmations, including quarterly and annual compliance affirmations, and other required acknowledgements to ensure compliance with firm policies and procedures.
- Assist the legal team by providing PM and Officer holdings and other information for necessary filings.
- Coordinate the annual Form ADV mailing with various client relationship groups.
- Assist in document gathering and provide support during periodic regulatory exams and internal audits.
- Manage FINRA registrations and assist with regulatory and ad hoc firm filings.
- Assist in interpreting regulatory developments and assess their impact on systems and controls.
- Perform special projects and other related duties as assigned.
Preferred Qualifications:
- Bachelor's degree or equivalent work experience.
- Minimum 3 years of compliance experience required (investment advisor act experience).
- Securities Industry Essentials (SIE) exam, Series 6/7 required
- Strong computer skills in Microsoft Word, Excel, Outlook, and PowerPoint.
- Detail-oriented with strong organizational and follow-through skills.
- Excellent communication skills - both verbal and written.
- Team-oriented, self-starter, and willingness to share ideas.
- Some travel required.
