Associate (Business Unit Compliance)

TL;DR

Associate (Business Unit Compliance): Monitor surveillances and assess financial product and transaction suitability to ensure compliance with regulatory requirements and internal controls with an accent on risk assessment, regulatory investigations, and advising Private Wealth Management teams. Focus on reviewing marketing materials, partnering daily with compliance, legal, and operations stakeholders, and contributing to US PWM and Global Compliance projects.

Company

hirify.global is a global investment banking, securities, and investment management firm.

What you will do

• Monitor and conduct surveillances for compliance with regulatory requirements and/or internal controls.
• Assess financial product and transaction suitability for a range of clients in line with regulations and internal policies.
• Partner daily with Midwest PWM business, Divisional Compliance, Legal, and Operations teams.
• Review marketing materials used to pitch Private Wealth Management products and services.
• Advise Private Wealth Management teams on regulations, policies, and client issues.
• Participate in US PWM and Global Compliance projects and initiatives.

Requirements

• Location: Must be based out of the Chicago office (Chicago, IL, United States)
• Bachelor’s degree required.
• Three years of relevant experience.
• Experience with legal, regulatory, and compliance issues in the financial industry.
• Ability to hold the Series 7, 9, and 10 or be willing and able to pass exams in a reasonable period of time.

Culture & Benefits

• Discretionary bonus eligibility for active employees as of fiscal year-end.
• Competitive benefits and wellness offerings for active, non-temporary full-time and part-time US employees working at least 20 hours per week.
• Commitment to diversity and inclusion, training and development, and firmwide networks.
• Reasonable accommodations available during the recruiting process.