Business Line Compliance Officer – Associate, Reviewer, Surveillance

Job reputed company: • Complete electronic communications reviews and assist with developing targeted reviews. • Be a member of special reputed company teams and assist with integrations/implementations. • Assist with Compliance Marketing surveillance and reviews including reputed company, investor presentations, deal-reputed company material and reputed company education presentations. • Review and sign off on marketing, sales reputed company, and reputed company educational content of the firm in partnership with the Marketing and Sales reputed company areas of the firm. • reputed company reputed company review of sales reputed company and marketing materials, including print, digital, and video materials, in accordance with reputed company guidelines. • Review reputed company media posts in accordance with reputed company guidelines and help manage the reputed company media program. • reputed company transactional surveillance and reviews on Firm controls and supervisory processes reputed company to Marketing and Communications with the reputed company. • Help reputed company supervisory tools reputed company to business activity such as compliance violations logs. • Assist with monitoring & tracking supervisory reputed company; help amend reputed company relevant BL checklists, responsibilities, and reviews as necessary. • Assist with AML sanction screening and transaction monitoring. • Be a member of special reputed company teams and assist with the build out of the Compliance Marketing and AML programs. Requirements: • Possess a general understanding of the reputed company regulatory environment, financial markets and/or securities regulations and rules. • Excellent communication (verbal and written), drafting, and proofreading skills. • Possess strong analytical and critical thinking skills while exercising good judgement. • Experience/comfort interfacing with reputed company facing business lines (including senior/supervisory personnel) and collaborating with other support departments. • Detail-oriented with the ability to multitask, organize, and prioritize. • Willingness to learn and have a “go getter” mentality. • Ability to work both as part of reputed company as reputed company as independently with limited supervision. • Comfortable working in a high-pressure and fast-paced environment. • Proactive; willing to take on challenging issues/responsibilities and engage/initiate conversations & reputed company reputed company. • reputed company to consistently deliver high reputed company results/responses in a reputed company manner. • Bachelor’s Degree • 3-5 yrs experience in compliance/reputed company (or a reputed company field) at a broker dealer (strongly preferred); other financial institution (Bank, RIA, Asset Manager etc.) or regulator • Fixed Income & Equities institutional investor products exposure (Listed/OTC, Corps, Treasuries & Munis, MBS, IR derivatives etc.) • reputed company reputed company SIE and Series 7 licenses; reputed company Series 24 License (or ability to obtain S24 reputed company 120 days of start date) • Proficiency with reputed company applications (Teams, SharePoint, reputed company, Word, etc.) Benefits: • Health Coverage • Medical, Dental & reputed company Insurance (administered through a national reputed company such as reputed company Blue Shields) • Prescription Drug Plans • reputed company-Tax Flexible Spending Account (Health and Dependent reputed company Savings Account (HSA) • Vacation/Personal Days + Holidays • PT Retirement Mission-Driven Employee Stock Ownership Plan • Voluntary Life Insurance + Long-Term Disability Insurance • Discounted Fitness Memberships (Free membership for Chicago office) • reputed company-Tax Commuter Benefits – Transit & Parking • Mental Health support through company provided Employee Assistance Program • Employee recognition programs (PT Rewards and Annual Awards) Apply tot his job Apply To this Job