We are in search of a dedicated associate to join our team in Elmhurst, Illinois. In this role, you will be taking on vital tasks such as maintaining and organizing records, ensuring compliance with regulations, and providing support for registered advisors. This opportunity is in the financial services industry, where you will be instrumental in promoting a culture of compliance and trading.

Responsibilities:

• Ensuring the firm's operations remain in compliance with relevant regulations and company policies
• Maintaining and organizing current records to allow for prompt response to inquiries or audits
• Providing support for registered investment advisors and registered representatives
• Reviewing marketing materials, including scrutinizing social media posts
• Monitoring trading activity and real-time alerts using specific systems
• Collaborating effectively across all departments while also having the capability to work independently
• Assisting in the development, review, and maintenance of Written Supervisory Procedures
• Using compliance software and other tools for efficient and effective compliance monitoring.

• Minimum 3 years of experience

• Adequate knowledge of ATS - Asynchronous Transfer Mode

• Experience with Compliance software

• Familiarity with CRM systems

• Skilled in using EHR SYSTEM

• Understanding of AML - Anti Money Laundering

• Experience in Auditing

• Excellent Communication skills

• Proven experience in Complaint Handling

• Ability to handle Inbound Telephone Calls efficiently

The salary range is $60,000-$65,000. Benefits would include Medical, Dental, a 401k with a 4% company match.