Location: Chicago, IL (Hybrid)

Duration: 5 months

Contract Type: W2 only

Pay Rate Range: $41.38 • $42.35/Hour

Job Scope:

Work in partnership with a senior associate and will support the team managing regulatory governance projects in accordance with client and FINRA requirements.

Role Responsibilities:

• Registering all individuals for current client roles in according with FINRA.
• Monitor and ensure items such as registrations, licenses, exams, study orders, continuing education requirements are all accurate and on time.
• Track and follow up on outstanding compliance requirements.
• Handle ad hoc FINRA Inquiries
• Analyzing data downloads

Must Have Skills:

• 5 years experience within Security, Compliance and Regulatory Governance
• MS Office experience (Excel, Word etc)
• Organized and able to multitask
• Able to think outside the box when a solution is needed (candidates should be able to apply their process knowledge but then think on their feet to solve problems strategically)

Nice to Have Skills:

• Bachelor’s degree or MBA
• Exposure to FINRA gateway
• Knowledge of U4/U5 forms
• Experience with National Futures Association