Compliance Manager — Broker-Dealer & SEC Compliance

Rothschild Wealth Partners; Oak Brook (IL); Sur place; USD 90 000 - 120 000; Plein temps

Avantages offerts par ce poste

Comprehensive benefits package

Culture of continuous learning

Résumé du poste

A boutique financial firm is seeking a Compliance Manager to support compliance programs focused on advisor licensing and registration. The role requires 2-5+ years in broker-dealer or securities compliance and involves responsibilities like onboarding, audits, and managing compliance systems. Ideal candidates will hold FINRA Series 24 and have strong documentation skills. A comprehensive benefits package is offered, reflecting the firm's dedication to employee well-being and growth.

Qualifications

• 2-5+ years in broker-dealer and/or securities compliance.
• Experience working within multiple entities with overlapping regulators.

Responsabilités

• Support audits and exams as needed.
• Support the onboarding and managing of surveillance software.
• Direct responsibility for employee onboarding including new employee training, registrations, filings.

Connaissances

FINRA licenses: Series 24

Experience with compliance-related systems and processes

Strong documentation skills supporting audit-ready records

Ability to coordinate across compliance, operations, and legal stakeholders

Description du poste

A boutique financial firm is seeking a Compliance Manager to support compliance programs focused on advisor licensing and registration. The role requires 2-5+ years in broker-dealer or securities compliance and involves responsibilities like onboarding, audits, and managing compliance systems. Ideal candidates will hold FINRA Series 24 and have strong documentation skills. A comprehensive benefits package is offered, reflecting the firm's dedication to employee well-being and growth.