Compliance Associate

Job Description

Job Description

The salary range for this position is $80,000-$85,000 and it comes with benefits, including medical, vision, dental, life, and disability insurance. To apply to this hybrid role please send your resume to john.sadofsky@roberthalf.c0m

We are seeking a Compliance Associate to join our team in Elmhurst, Illinois. This role is pivotal in upholding our firm's adherence to regulations and policies, and will involve the use of various software systems to monitor business activities, maintain records, and aid in communication across departments.

Job Description :

• Utilize Sungard Protegent system for monitoring trading activity and real-time alerts.
• Ensure accurate and up-to-date record keeping for swift response to inquiries or audits.
• Contribute to the development, review, and upkeep of our Written Supervisory Procedures.
• Foster a culture of compliance and trading by working closely with senior management.
• Provide continuous support for registered investment advisors and representatives.
• Collaborate effectively with all departments, both independently and as part of a team.
• Review and approve marketing materials, including social media posts, to ensure compliance.
• Utilize CRM and ERP software systems to manage customer interactions and business resources.
• Use accounting software systems and perform accounting functions as required.
• Use communication and auditing skills to administer claims and produce clear reports.

Job Requirements :

To apply to this hybrid role please send your resume to john.sadofsky@roberthalf.c0m