What are the responsibilities and job description for the 80271 - Compliance Officer position at Swoon?
Swoon is hiring a Compliance Officer for our top client in IL!
- 4 month contract with strong potential to extend/convert
- Hybrid in Chicago
- Hours: M-F 8:00 AM - 5:00 PM
- Benefits available: Medical/Dental/Vision
- Looking to hire ASAP
Who is the client I would be working with?
- A leading financial company ranking 16th in largest total assets for commercial banking providing a combination of sector expertise, local knowledge and mid-market focus throughout the U.S. and provides a broad range of personal banking products and solutions through over 650 branches
What will I be doing in this role?
- Monitor and ensure items such as registrations, licenses, exams, study orders, continuing education requirements are all accurate and on time
- Handle ad hoc FINRA Inquiries
- Analyzing data downloads
What is required?
- 3 years in Security, Compliance and Regulatory Governance
- Capital Market Experience
- Strong Excel skill
- Able to think outside the box when a solution is needed
What would be nice?
- Experience in large bank or financial organization
- Education applicable to field
- Exposure to FINRA gateway
- Knowledge of U4/U5 forms
- Experience with National Futures Association
If interested apply here!
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