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:
1202-213

Job Type:
Permanent

Title:
Temp-to-perm Administrative and Compliance Assistant (1202-213)

Location:
Chicago Loop

Description:
The Administrative/Compliance Assistant performs an array of secretarial and
clerical duties and is also responsible for set up and maintenance of client
accounts under the direction of the Investment Advisors & Chief Compliance
Officer.

The Administrative/Compliance Assistant also assists in implementing the
firmís compliance program, under the direction of the designated Chief
Compliance Officer/Business Manager.

RESPONSIBILITIES:
Schedule meetings and appointments
Screen phone calls and take messages
Prepare written correspondence, reports and presentations
Multi-task, organize and complete projects
Print, scan, file organization, archive records
Other administrative tasks
Set up new client and additional client accounts
Assist client in completing firm and custodian paperwork as needed
Review client transactions and activities; prepare reports
Compile account paperwork for client meetings and review
Execute asset transfers
Assist in software usage
Support investment team as needed
Ensure that the companys employees comply with all guidelines, management
directives,
and human resource policies
Assist in monitoring the firm information barriers, track information flow,
and conduct
surveillance of employee, proprietary, customer and affiliate trading
accounts
Assist in research for compliance with applicable regulatory requirements
and internal policies, and be responsible for the dissemination of
communications between investment advisors and management
Provide advice with respect to the firms information & IT policies,
including trading
restrictions, clearance of employee trading requests, and research
publications

REQUIREMENTS:
Minimum Associates Degree, Bachelors degree from an accredited university
preferred
1-2 years experience in the financial services industry
Proficiency in Word, Excel, PowerPoint, Outlook, and Adobe Acrobat
Previous CRM experience (Junxure preferred)
Schwab PortfolioCenter experience preferred
Must be willing to acquire Series 65 License within 6 months of hire
Previous experience using WordPerfect preferred
Strong analytical skills
Ability to spot issues and analyze complex problems quickly and thoroughly
with attention to detail
Must be organized, meticulous, detail-oriented, able to multitask
Good written and verbal communication skills
Desire/ability to work successfully in a small company environment
Client first attitude


Category:
Alternative Investments // Asset Management // Banking // Broker Dealer

Contact:
zach@bcius.com