We are seeking a full-time Compliance Associate to work in our Chicago, IL office.
The ideal candidate will be a self-starter who is detail oriented and has retail or institutional broker dealer experience. The candidate will be part of a team of compliance personnel servicing brokers and traders across the U.S. Emphasis on team work and collaboration is a must. Training and professional growth opportunities available for motivated candidates.
Duties of this position include, but are not limited to the following:
- Assist with daily trade review and surveillance.
- Review individual registered representatives’ trading activity for compliance with firm policies and procedures and industry standards of conduct.
- Prepare correspondence and reports for regulators, management and outside counsel.
- Assist with investigations and customer complaints.
- Review fund activity for consistency with its prospects.
- Respond to questions from registered representatives and supervisory personnel.
- Prepare, organize and file requisite documentation.
- Provide guidance to fund management and supervisory personnel on new regulations or interpretations.
- Perform other duties as assigned.
Education, Experience and Skills required:
- Bachelor’s degree in Finance, Business, or Economics.
- Three to five years of experience in the brokerage industry and/or previous Compliance experience.
- Securities Industry Essentials (SIE), Series 7 preferred but training is available.
- Excellent communication skills required.
- Proficient in MS Word, Excel, PowerPoint and Outlook.
- Ability to organize and prioritize work without supervision.
- Self-starter with willingness to learn and adapt to new and challenging tasks.
B. Riley Financial, Inc. employees enjoy competitive salaries, access to our 401(k) profit sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company paid life and disability coverage.