Compliance Analyst

Alexander Chapman; Chicago (IL); On-site; USD 120,000 - 180,000; Full time

Job summary

Alexander Chapman Ltd is seeking an experienced compliance professional to support regulatory obligations and ongoing compliance activities within a leading financial services firm in the United States. The role focuses on guiding regulations, monitoring programs, and coordinating regulator interactions.

The ideal candidate will have substantial FINRA-related compliance experience, familiarity with trading operations, and the Series 24 certification. A J.D.

Qualifications

• Substantial compliance or advisory experience supporting a FINRA-registered broker-dealer.
• Experience handling regulatory examinations and interacting with regulators preferred.
• Familiarity with trading operations, technology, and controls preferred.
• Knowledge of multiple asset classes desirable.
• Series 24 required. Additional registrations and a J.D. are a plus.
• Must be authorized to work in the United States.

Responsibilities

• Provide guidance on applicable securities regulations and evolving requirements.
• Support compliance monitoring, testing, and the review of policies and supervisory procedures.
• Coordinate responses to regulatory reviews, examinations, and requests.
• Work with internal teams to strengthen controls across business operations and trading activities.
• Assist senior compliance leadership with day-to-day matters and broader initiatives.

Skills

Regulatory compliance

Regulatory examinations

Trading operations

Asset classes knowledge

Education

FINRA Series 24

J.D. (preferred)

Job description

We’re partnering with a financial services firm seeking an experienced compliance professional to support its regulatory obligations and ongoing compliance activities.

Key Responsibilities

• Provide guidance on applicable securities regulations and evolving requirements.
• Support compliance monitoring, testing, and the review of policies and supervisory procedures.
• Coordinate responses to regulatory reviews, examinations, and requests.
• Work with internal teams to strengthen controls across business operations and trading activities.
• Assist senior compliance leadership with day-to-day matters and broader initiatives.

Qualifications

• Substantial compliance or advisory experience supporting a FINRA-registered broker-dealer.
• Experience handling regulatory examinations and interacting with regulators preferred.
• Familiarity with trading operations, technology, and controls preferred.
• Knowledge of multiple asset classes desirable.
• Series 24 required. Additional registrations and a J.D. are a plus.
• Must be authorized to work in the United States.