Job Description
Join our dynamic compliance team in Chicago and shape the future of regulatory excellence. We're urgently seeking a detail-oriented Compliance Officer to ensure adherence to federal regulations, industry standards, and internal policies. This high-impact role offers competitive compensation, comprehensive benefits, and rapid career growth in one of America's most vibrant financial hubs. Apply today and become a guardian of ethical business practices.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and Federal Reserve regulations
- Conduct risk assessments and internal audits to identify regulatory vulnerabilities
- Investigate compliance violations and recommend corrective actions
- Train staff on regulatory changes and ethical standards
- Collaborate with legal, risk, and operations teams to ensure cohesive compliance frameworks
- Monitor regulatory updates and advise leadership on policy implications
- Prepare detailed compliance reports for executive and board review
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- FINRA Series 63/65/66 licenses required
- Expertise in AML, BSA, and Dodd-Frank regulations
- Strong analytical skills with attention to regulatory nuances
- Proficiency in compliance software (e.g., RSA Archer, OnBase)
- Excellent written/verbal communication and presentation skills