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80271 - Compliance Officer

Company: Swoon

Location: US - Illinois - Chicago

Category:

Posted: July 2, 2024

Swoon is hiring a Compliance Officer for our top client in IL!
4 month contract with strong potential to extend/convert
Hybrid in Chicago
Hours: M-F 8:00 AM - 5:00 PM
Benefits available: Medical/Dental/Vision
Looking to hire ASAP
Who is the client I would be working with?
A leading financial company ranking 16th in largest total assets for commercial banking providing a combination of sector expertise, local knowledge and mid-market focus throughout the U.S. and provides a broad range of personal banking products and solutions through over 650 branches
What will I be doing in this role?
Monitor and ensure items such as registrations, licenses, exams, study orders, continuing education requirements are all accurate and on time
Handle ad hoc FINRA Inquiries
Analyzing data downloads
What is required?
3+ years in Security, Compliance and Regulatory Governance
Capital Market Experience
Strong Excel skill
Able to think outside the box when a solution is needed
What would be nice?
Experience in large bank or financial organization
Education applicable to field
Exposure to FINRA gateway
Knowledge of U4/U5 forms
Experience with National Futures Association
If interested apply here!
•

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