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:
319-18566

Job Type:
Permanent

Title:
Compliance Associate - Temporary-to-permanent (319-18566)

Location:
Chicago (Loop)

Description:
Title: Compliance Associate (319-18566)
Location: Chicago
Dates: Start ASAP
Compensation: Depends on experience

Summary/Responsibilities:
Contact customers via phone and email to follow-up on outstanding compliance
requests
Track and monitor account closures
Track and file documentation for compliance tasks
Query account data and registration information for customer accounts and
compliance tasks
Review account statements provided to confirm shares transferred to IB were
purchased in the open market
Conduct general account searches
Compare customer account data against a set criterion and identify anomalies
that require further inquiry

Requirements:
Bachelorís degree
A Series 7 would be a plus
Proficiency with desktop applications and MS Office suite of products is
required
Comfortable working in an automated, hands-on environment
Excellent written and oral communication skill sets are important
prerequisites

Additional preferred Skills:
Knowledge of SRO, Broker Dealer and/or FCM environment, and equities and
equity-linked products
Experience within a Compliance Department, internal audit, legal or a
control function of a SRO, BD or FCM


Category:
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Contact:
tony@bcius.com