Compliance Associate Compliance Associate …

Hamlyn Williams
in Chicago, IL, United States
Contract, Full time
Be the first to apply
40-60/hr
Hamlyn Williams
in Chicago, IL, United States
Contract, Full time
Be the first to apply
40-60/hr
Hamlyn Williams
Seeking a contractor for a Compliance Associate role within the Legal & Compliance Department in the Firm's worldwide headquarters, Chicago, Illinois.  The position will support the broker-dealer and securities business lines.  Additionally, the role will assist in developing policies, processes, and documentation to promote the regulatory integrity of the firm.  

Core Responsibilities:

  • Prepare feedback to regulatory inquiries in collaboration with Desk Supervisors, Legal and Compliance
  • Assess and further develop the adequacy of policies and procedures
  • Coordinate and assist with regulatory exams, including data analysis and production
  • Proactively review, identify, and implement enhancements to compliance processes and documentation
  • Identify issues and escalations in real-time, and report synthesized analysis to team
  • Advise trading, quantitative research, technology, and support functions on rules and internal policies
  • Coordinate the implementation of new or changed regulatory requirements
  • Retrieve, analyze, and organize order and trade data in response to regulatory requests
  • Interpret and apply regulatory reporting requirements for trading activities of specific business lines
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