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Compliance Officer Capital Markets

Company: Swoon

Location: US - Illinois - Chicago

Category:

Posted: July 1, 2024

Banking client is looking for a Compliance Officer to join their team for a contract to hire opportunity. T his role is hybrid in Chicago, IL off Canal Street.
This is direct W2 only - no C2C/H1B eligible.
Must Haves : Experience with Capital Markets experience. This is not on the residential side.
The US Registrations team is looking to backfill a associate who will be leaving on mat leave. The selected candidate will work in partnership with a senior associate and will support the team managing regulatory governance projects in accordance with bank and FINRA requirements.
Role Responsibilities:
• Registering all individuals for current roles in according with FINRA
• Monitor and ensure items such as registrations, licenses, exams, study orders, continuing education requirements are all accurate and on time
• Track and follow up on outstanding compliance requirements
• Handle ad hoc FINRA Inquiries
• Analyzing data downloads
Must Have Skills:
Experience within Security, Compliance and Regulatory Governance within Capital Markets
• Excel (VLOOKUP, Pivot Tables)
• Able to think outside the box when a solution is needed (candidates should be able to apply their process knowledge but then think on their feet to solve problems strategically)
Nice to Have Skills:
• Bachelor's degree or MBA
• Exposure to FINRA gateway
• Knowledge of U4/U5 forms
• Experience with National Futures Association
•

Read the full job description and apply online on the recuiter's web-site

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