Compliance Officer

at  Robert Half

We are offering an exciting opportunity for a Compliance Officer in the Financial Services industry, based in Chicago, Illinois. The role involves implementing and enforcing compliance policies, conducting regular reviews of trading activities, staying updated with regulatory developments, and collaborating with various teams to ensure compliance requirements are integrated into trading strategies.

• Develop, implement, and enforce compliance policies and procedures to ensure adherence to regulatory requirements.
• Conduct regular reviews and assessments of trading activities, systems, and controls to identify and mitigate compliance risk.
• Stay updated on regulatory developments and industry best practices, providing guidance and recommendations to senior management on emerging compliance issues.
• Collaborate with trading teams, developers, and other departments to ensure compliance requirements are integrated into trading strategies and systems.
• Conduct compliance training and education programs for employees to promote awareness and understanding of regulatory requirements and internal policies.
• Respond to inquiries and requests from regulatory authorities, conducting internal investigations as necessary and coordinating responses to regulatory inquiries and examinations.
• Assist in the development and maintenance of compliance-related documentation, including compliance manuals, risk assessments, and reports.
• Participate in regulatory audits and examinations, liaising with external auditors and regulators as needed.
• Maintain strong relationships with regulatory authorities, industry organizations, and other external stakeholders.
• Use various tools and software like ATS - Asynchronous Transfer Mode, LexisNexis, Management System, Microsoft Excel, Microsoft Office Suites, AML - Anti Money Laundering, Auditing, Compliance, Compliance Functions, Documentation to perform duties effectively.
• Must have a minimum of 5 years of experience in the Financial Services industry
• Proven experience in a Compliance Officer role or similar is essential
• Proficiency in Microsoft Excel and Microsoft Office Suites is required
• Knowledge and understanding of Asynchronous Transfer Mode (ATS) is essential
• Experience in using LexisNexis is a must
• Familiarity with Anti Money Laundering (AML) practices is required
• Proven track record in auditing and compliance regulations is essential
• Demonstrable expertise in executing compliance functions is crucial
• Experience in managing a Compliance Management System is necessary
• Excellent documentation skills are required.
  Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.
  Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app and get 1-tap apply, notifications of AI-matched jobs, and much more.
  All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.
  © 2024 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use