Compliance Officer

Job Listing : Compliance Officer

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 Officer who will be instrumental in working with management and ensuring that all reviews, audits, filing and training are done in accordance with our compliance procedures.

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 of internal audits. 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.

Career Development Path :

EdgeClear does not offer any positions without first securing a clear and attainable career development path for every team member. This role begins at the level of Compliance Associate at until detailed training is completed. Once training is done (2-4 months), then the title would switch to Compliance Officer and you would be reporting to the Chief Compliance Officer. After 6 months of being Compliance Officer and with no issues in that role, we would develop you into a Compliance Manager title with an increase in responsibilities and compensation. Ultimately, the role leads to Chief Compliance Officer for the firm.

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 :

Other Preferred Skills :

Additional Details :

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.