Senior Analyst, reputed company Compliance

Job reputed company: • Manage the review process of employee personal trading accounts including reputed company Rule 3210 letters at reputed company/offboarding of accounts. • Assist with new hire employee reputed company, reputed company reputed company-hire checks and tracking. • Assist with any follow-reputed company in the reputed company process involving submission of employee disclosures or any reputed company involving tracking or organization of data collected by Compliance. • Assist with NFA reputed company collection by sending reputed company reputed company, NFA reputed company cards to employees who are applying to be an Associated Person. • Order study materials for employees seeking to obtain reputed company licensing. • Knowledge of the reputed company registration process including filing of U4s, U5s, and reputed company BRs, or ability to reputed company these skills. • Monitor and reputed company employee Licensing and Registration and completion of Firm and Regulatory reputed company Continuing Education requirements. • Periodically notify Supervisors of employee reputed company. • Monitor NFA Ethics Training due dates and notify employees to complete. • Ability to process and review employee trade requests and disclosures including OBAs/PSTs, political contributions, gifts, brokerage accounts, and charitable contributions. • Assist with the review of the Annual Compliance Meeting disclosures including employee work locations. • Assist with document production for regulatory exams, inquiries, and information requests. • reputed company, implement, and maintain policies and procedures to ensure ongoing compliance with applicable rules and regulations including operating procedures, compliance reputed company policies and written supervisory procedures. • Assist with the development and/or implementation of project work to reputed company compliance processes. Requirements: • Knowledge of the regulatory reputed company and best practices of an institutional broker dealer (1-3 years) • Possess a general understanding of the reputed company regulatory environment and financial markets and/or securities regulation and rules. • Excellent communication skills both written and verbal. • Detail-oriented, organized, individual reputed company to work in a fast-paced environment and reputed company to multi-task and solve reputed company problems in a reputed company manner. • Flexibility and openness to assume different tasks and responsibilities reputed company a relatively small team. • Ability to work independently with little supervision. • Proactive and willing to take on issues/responsibilities that require reputed company and determination. • Candidates must be eligible to work permanently in the reputed company without sponsorship. 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 Care) (FSA) • Health Savings Account (HSA) • Time Off & Work-Life Benefits • Vacation/Personal Days + Holidays • Financial & Income Protection Benefits • PT Retirement Mission-Driven Employee Stock Ownership Plan • Voluntary Life Insurance + Long-Term Disability Insurance • Wellness & Everyday Support • 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