Senior Compliance Officer (Equities)
Job Opportunity at Paul Murphy Associates

Posted on Mar 2


Location: Chicago, IL
Job Type: Full Time
Job ID: W4154153

Title: Senior Compliance Officer (Equities) 
Location: Chicago, IL (Loop)
Length: Full Time
Rate: $$$$$K DOE
Performs various compliance tasks with minimum supervision: regulatory advice to the business, drafting, implementation of policies and procedures, communication to the regulators and conducting compliance testing and reporting to ensure that the Firm’s activities, policies, procedures are in compliance with applicable laws and regulations.
  • Participates in the development and maintenance of comprehensive written supervisory procedures and the related supervisory control review
  • Works closely with various departments to provide analysis and resolution on compliance related matters; identifies and communicates regulatory change
  • Assists in conducting on-going surveillance, reviews and testing, ensures maintenance of proper documentation of all reviews conducted by the compliance department (outside business activities, private securities transactions, employee accounts, social media)
  • Researches and responds to regulatory inquiries, as necessary (SEC, FINRA, CBOE)
  • Assists with the coordination of examinations with various government and regulatory organizations
  • Conducts mandated regulatory reviews
  • Maintains employee and company registrations
  • Approves new accounts
  • Assists in internal  examinations, including follow-up actions
  • Participates in development and delivery of employee training, including continuing education
  • Assists in tracking/documenting compliance projects, registration requirements and compliance affirmations
  • Keeps abreast of internal compliance rules and regulatory requirements
  • Performs other compliance duties, as necessary 
  • Bachelor's degree from an accredited college/university preferably in accounting, finance, economics or related discipline / MBA preferred
  • Strong organizational and effective communication skills
  • Must be highly flexible, multi-task oriented and capable of changing directions based on business demands
  • Team-oriented with strong interpersonal skills, ability to manage conflict and deal with pressure in a positive manner
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