Compliance Analyst
mission staffingMundelein, IL
Compliance Analyst
mission staffingMundelein, ILSenior L5
Portfolio Management and Investment AdviceInvestment Banking and Securities IntermediationMiscellaneous Financial Investment Activities
APPLY NOW (opens in a new tab)Job Description:
Our client, a well-established financial services firm based in New York, NY, is seeking a Junior Compliance Officer to join its legal and compliance team. This individual will report directly to senior legal leadership and support a variety of compliance and legal functions, with a particular focus on trade surveillance, investment compliance, and regulatory matters.
The ideal candidate will have:
2+ years of experience within a bank, investment management firm, or financial services organization. Experience with mutual funds and ETFs is a strong plus. This is an initial 3–6 month contract opportunity with potential to convert to a permanent position.
Responsibilities:
- Support the firm's day-to-day compliance monitoring and surveillance activities
- Assist with trade surveillance and review trading activity for potential compliance issues
- Help prepare, review, and execute contracts and agreements
- Conduct legal and regulatory research to support the compliance and legal team
- Review marketing materials to ensure compliance with applicable regulatory requirements
- Review RFPs and other client-facing materials
- Assist with ongoing compliance projects, policies, and procedures
- Work closely with senior legal and compliance leadership on various matters
Requirements:
- 2+ years of experience in compliance within financial services
- Prior experience with trade surveillance or investment compliance strongly preferred
- Experience working at a bank, investment management firm, or financial services organization
- Familiarity with mutual funds and/or ETFs is a strong plus
- Exposure to reviewing marketing materials, RFPs, contracts, and agreements
- Strong research, analytical, and organizational skills
- Bachelor's degree required, with a minimum 3.0 GPAExcellent written and verbal communication skills
- Ability to work directly with senior-level stakeholders and manage multiple priorities
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Level
Senior L5
Location
Mundelein, IL
Occupation
Compliance Officers
Industry
Portfolio Management and Investment Advice
Posted
3 days ago