Compliance Analyst

Chicago, Illinois

Employer: Procom
Industry: 
Salary: Competitive
Job type: Part-Time
Compliance Analyst
On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst.

Compliance Analyst - Job Description
  • Registering all individuals for current roles in accordance with FINRA
  • Monitor and ensure items such as registrations, licenses, exams, study orders, and continuing education requirements are all accurate and on time
  • Track and follow up on outstanding compliance requirements
  • Handle ad hoc FINRA Inquiries
  • Analyzing data downloads

Compliance Analyst - Mandatory Skills
  • 5 years experience within Security, Compliance, and Regulatory Governance
  • MS Office experience (Excel, Word etc) • Organized and able to multitask
  • Able to think outside the box when a solution is needed (candidates should be able to apply their process knowledge but then think on their feet to solve problems strategically)

Compliance Analyst - Preferred Skills
  • Bachelor's degree or MBA
  • Exposure to FINRA gateway
  • Knowledge of U4/U5 forms
  • Experience with the National Futures Association

Compliance Analyst - Assignment Start Date
ASAP - 4 months to start
Compliance Analyst - Assignment Location
Chicago, IL
Created: 2024-06-09
Reference: 8yHtKNvLxo19
Country: United States
State: Illinois
City: Chicago
ZIP: 60018

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