BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
  • Banking
  • Broker/Dealers
  • Commercial Lending
  • Consulting
  • Corporate Treasury
  • Family Offices
  • Financial Services Software Services
  • Insurance & Pension Funds
  • Municipal Finance
  • Private Equity
  • Real Estate Finance
  • Trading

Brokerage Consultants - Financial Recruiting

Tap our resources.

They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:
1150-228

Job Type:
Permanent

Title:
Assistant Compliance Officer

Location:
Chicago

Description:
Industry-leading life insurance/annuity provider seeks experienced
compliance professional to assist with the development and implementation of
surveillance and monitoring programs along with various day-to-day
operational tasks in the department

RESPONSIBILITIES:
Assist with implementation and communication on new regulations
Provide training on current and new rules and regulations
Develop as necessary, update, and implement compliance policies and
procedures, including written supervisory procedures
Develop, implement and maintain necessary surveillance and monitoring
programs
Assist in managing SEC and FINRA examinations and coordinate response
Investigate and respond to client inquiries and customer complaints
Prepare and file assigned regulatory filings and reporting
Conduct compliance testing per FINRA regulations
Conduct annual compliance meetings

REQUIREMENTS:
FINRA Series 7 & Series 24 registrations; Series 63 and Series 65/66
Registration within 90 days in position
Bachelors degree in Business, Finance or other related field or equivalent
professional work experience in the securities industry
5-10 years progressively responsible compliance experience within
investments/financial services to include detailed knowledge of the trade
cycle, securities settlement, standard trading workflows and systems and
specific knowledge of SEC, FINRA and state insurance rules and regulations
and interpretations relating to advertisements by broker-dealers, and
insurance companies
Demonstrated strong critical thinking, analytical and organizational skills
Ability to work independently, set priorities, manage deadlines, and
function in a team environment
Strong presentation skills both verbal and in writing, especially to large
and diverse audiences
Ability to perform technical research and analysis of laws and regulations
and apply them to company operations, products, and securities transactions
Strong written and verbal communication skills and human relation skills


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Contact:
zach@bcius.com