What are the responsibilities and job description for the Senior Compliance Officer position at Strategic Employment Partners (SEP)?
Title: Senior Compliance Officer
Location: Downtown Chicago (Hybrid Role)
A well-established Investment Bank is seeking a skilled and experienced Sr Compliance Officer to join their growing team. This role provides an excellent opportunity to work closely with the Chief Compliance Officer and help shape the future of the department. The ideal candidate will have their Series 7 and 52 licenses.
This position involves conducting compliance audits, mentoring junior staff and implementing regulatory policies while working closely with the CCO. The positions additionally includes some infrequent travel, up to 20%.
Requirements:
- Series 7 and 52 Licenses
- Investment Banking or Financial Services Industry experience
- Local to Chicago, open to working hybrid in the loop
Plusses/ Nice to have:
- Proficiency in standard office software (e.g., MS Office Suite).
- Currently holding or willingness to obtain Series 14 24 50 53 54 and/or 79 licenses.
Salary : $140,000 - $160,000
