Work for a top compliance consulting firm support asset management firm and hedge funds. Must be based in Chicago.
Compliance Officer
in Financial Services PermanentJob Detail
Job Description
Duties:
- Maintain Code of Ethics programs for clients
- Assist consultants with annual review obligations, including electronic communications surveillance
- Assist with the preparation of regulatory correspondence including SEC, CFTC, and SRO examinations and inquiries
- Assist with the preparation of regulatory filings such as Form ADV, Section 13 filings, Form PF, Form PQR, among others
- Conduct regular reviews of compliance programs including anti-money laundering
- Some travel may be required (<10%)
Experience:
- 2-4 years’ experience working in financial services , compliance department staff, paralegal
- Candidates must have excellent English language skills, excelling in both written and oral communication
- Experience with Microsoft Office including excellent Excel skills is desirable
- Strong analytical skills are a must. Candidates must display the ability to analyze and interpret basic data with a keen eye for detail
- Must be self-starters with strong independent motivation and the ability to thrive in an independent work environment
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