Compliance Associate

Job Listing:

Compliance Associate

Location:

Chicago, IL - Onsite Only

About Us:

EdgeClear’s objective is to simplify access to financial markets through outstanding brokerage services and technology solutions. We are expanding our team to bring on an in-house Compliance Associate who will be instrumental in working with management and who will interface with regulators.

Role Overview:

In this role, you will have a wide range of responsibilities within our financial organization. Your tasks will include collaborating with the marketing and graphic design teams to plan and execute promotional materials while ensuring compliance with regulatory standards. You will also assist with submissions to regulators and maintain meticulous records. You will also oversee employee compliance training coordination, ensure that agreements are compliant, and actively participate in compliance training sessions. Additionally, you will work closely with brokers on addressing customer concerns, and ensuring strict compliance with applicable federal regulations. Join us and make a significant impact in the world of compliance. All training will be provided.

Key Responsibilities:

• Collaborate with the marketing/graphic design team for promotional material planning.
• Identify and address promotional material needs as per marketing department guidelines.
• Complete the Promo Material Review Form and maintain organized records.
• Obtain and manage approvals for promotional packages from the Chief Compliance Officer (CCO).
• Submit promotional materials to the NFA, ensuring proper documentation.
• Responsively handle NFA requests post-CCO approval.
• File and manage approval letters for promotional pieces and conduct compliance audits.
• Coordinate employee training.
• Manage Customer Identification Program (CIP) Reliance Agreements.
• Attend compliance training sessions, conduct cybersecurity audits, address customer complaints, and ensure OFAC compliance while distributing the Privacy Policy as required.

Required Skills & Qualifications:

• Highly organized and detail-oriented.
• Education or training in a legal field is preferred.
• Minimum of 2 years of experience in compliance, legal, or regulatory affairs.
• Strong comprehension of financial laws and regulations; ability to interpret legal requirements.
• Exceptional communication and interpersonal skills.
• Proficiency in using MS Office, Google Workspace tools, and CRM software.
• Ability to work effectively both independently and as part of a team.
• Strong ability to prioritize and multitask efficiently, even under pressure.
• Excellent at properly archiving and tracking compliance assets.

Other Preferred Skills:

• Other relevant experience: Trading and/or investing experience is a huge benefit. Be sure to let us know if you have this.
• CRM experience: Experience using Zoho CRM, Salesforce, or Hubspot.

Additional Details:

• On-site position only.
• We provide comprehensive training to help you understand the industry and to learn the laws and regulations governing our work.
• There will be exposure to others in the industry through regular training events.
• We provide a career development roadmap for all employees.
• Our offices are in the River North area of Chicago.
• Benefits: 401k plan and match. Health care plan among other benefits.

References:

Please provide 2-3 professional references that can speak to your experience and qualifications for this role.

How to Apply:

Apply by sending your resume/CV, and references through the link on this page.