What are the responsibilities and job description for the Compliance Analyst position at LaSalle St. Securities?
Company Description
Founded in 1974, LaSalle St. Securities, LLC. is an advisor-owned independent wealth management firm supporting over 325 Financial Advisors and $16B in AUM. Headquartered in the western suburbs of Chicago, we provide a broad range of brokerage, advisory, and investment services coupled with industry leading platforms that allows our affiliated registered investment advisors to effectively serve their clients.
Key Responsibilities
- Serve as the first line of defense in keeping our business compliant.
- Maintain accurate, organized, and current records that allow the firm to respond quickly to any inquiry or audit.
- Monitor business activities to ensure the firm remains in compliance with regulations and firm policies and participate in the development, review and maintenance of our Written Supervisory Procedures.
- Monitor trading activity, real-time alerts and various reports utilizing the Sungard Protegent system.
- Collaborate and communicate across all departments effectively while working independently and as part of a team.
- Assist senior management in promoting a culture of compliance and efficient trading.
- Provide ongoing support for registered investment advisors and registered representatives.
- Review of marketing materials, including social media posts
Qualifications
- Series 7 & 65/66 licenses preferred – successful completion shall be required after employment begins
- Knowledge of and experience with SEC and/or FINRA regulations preferred
- Compliance monitoring/testing experience preferred
- Strong interpersonal skills and ability to work effectively in a team environment.
- Excellent computer skills: MS Office Suite (Access, Excel, Word)
- Client focused with a tenacity to resolve issues and conflicts