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Compliance Analyst


This is a Full-time position in Chicago, IL posted February 17, 2021.

Greetings, we are looking for a Compliance Analyst for one of our direct client in Chicago, IL 60606. Job Title Compliance Analyst Location Chicago, IL 60606 (Remote to start) Duration 3 months (with possible extension) Job Description The Compliance eMonitoring team provides centralized support in regard to the retention framework and review of electronic correspondence, in accordance with regulatory requirements and the Global Electronic Communications Policy. With the continued advancements in technology, email, instant messages, text messages, and Social Media posts are all now common forms of communication in the financial services industry. The Compliance Advisor will assist the team in the daily execution of the eMonitoring program to help ensure the firm can continue to meet its regulatory obligations to properly retain and monitor all forms of firm electronic correspondence. Key Responsibilities Duties Perform extensive daily monitoring of communications, generally in large volumes, to fulfill the standards of the Electronic Communications Monitoring program. Exercise sound judgment and follow protocol to determine whether alerts are potential policy violations or benign, and document in the system accordingly Make recommendations to constantly improve the quality of the monitoring program by assessing the efficacy of the lexicon and other techniques that are utilized Aggregate and analyze the results of monitoring, surveillance and testing of potential irregularities in partnership with the Compliance eMonitoring team and affiliate leaders Provide support to the manager in partnering with key Compliance team members to provide on-going training and coaching opportunity to business partners Assist team in conducting periodic calls with stakeholders Stay abreast of regulatory developments that may impact the program and provide on-going support in the updating of program policies and procedures Assist with implementing protocols for newly developed monitoring tests Maintain internal user databases in email archive tool Required Qualifications Bachelor’s degree required and 1-3 years of applicable experience working in the securities industry, working for an investment adviser or broker-dealer Demonstrated financial services knowledge, e.g. products, markets, terminology, operational and other processes Knowledge and experience with databases, spreadsheets, and other similar software is a must Must be extremely detail-oriented with a very inquisitive nature and have the ability to practice discretion and sound judgment while operating with integrity when handling sensitive information Strong organizational and analytical skills along with ability to research utilizing a variety of resources Superior verbal and written communication skills are required Excellent problem-solving skills with capacity to bring problems to resolution Able to function independently Preferred Skills Prior Compliance experience preferred Technological and systems knowledge and experience strongly preferred. Previous experience with electronic message monitoring a plus