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    Compliance Associate - Chicago, United States - Rothschild Investment Corporation

    Rothschild Investment Corporation
    Rothschild Investment Corporation Chicago, United States

    2 weeks ago

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    Description
    We'll be hiring a compliance/operations associate. Responsible for tasks involving Broker Dealer and Registered Investment Advisor regulatory compliance.

    The ideal person will be detail-oriented, while also having a strong desire to take charge and build out our internal compliance department, working with our CCO and CFO.


    Primary Responsibilities:
    Perform daily trade reviews, ensure Reg BI compliance, new accounts review.
    Monitor employee activity including outside brokerage accounts, daily exceptions, outside business activities, state registrations, and others.

    Distribute and review affirmations including quarterly and annual compliance affirmations, and other required acknowledgements, as needed, for compliance with firm policies and procedures.

    Manage necessary filings including quarterly 13F, annual ADV, among others.
    Assist with regulatory examinations, audits, and inquiries Complete due diligence on vendors and asset managers, namely alternative investments.
    Review transactions, products, and business development initiatives to identify potential risk and advise on compliance mitigation.

    Administer and assist in the development and maintenance of compliance policies and procedures; evaluate regulatory updates for impact on the business help implement policies and procedures to address relevant changes.

    Perform other compliance/operations projects as assigned.

    Preferred Qualifications:
    Bachelor's Degree preferred or equivalent work experience.
    2+ years compliance experience (with investment advisor act experience preferred).
    Relevant Securities Licensing, Series 24 or willingness to obtain it within 3 months of hire.
    Detail oriented with strong organizational and follow-through skills.
    Team oriented and willingness to share ideas.
    Strong computer skills in Microsoft Word, Excel, Outlook, and PowerPoint.

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