Compliance Analyst II at Oliver James

Compliance Analyst - Broker-Dealer

Location: Bolingbrook / Chicago, IL
Education: Bachelor's degree in Business, Finance, or related field

Overview

Our client is a registered broker-dealer that provides electronic trading and execution services to institutional clients. The firm operates at the intersection of technology and regulation, offering innovative financial solutions while maintaining strong compliance standards.

We're seeking a Compliance Analyst to join the regulatory compliance team. This individual will assist in ongoing compliance monitoring, regulatory filings, policy development, and risk assessments for the broker-dealer business.

About the Team

The compliance function supports both U.S. and international regulated entities, ensuring the firm operates in accordance with SEC, FINRA, and FCA requirements. The team partners closely with business and operations leaders to provide guidance on regulatory expectations and to promote a culture of compliance across all business lines.

Key Responsibilities

• Monitor and analyze new and existing regulations, regulatory guidance, and rule changes; communicate relevant updates to business stakeholders.
• Support registration, licensing, and continuing education processes for associated persons.
• Assist with regulatory filings and submissions to FINRA, SEC, and other applicable agencies.
• Conduct reviews of employee and client activity to identify potential compliance issues or suspicious patterns.
• Participate in surveillance reviews and ongoing monitoring of communications and trading activity.
• Support the implementation and maintenance of compliance policies, procedures, and controls.
• Prepare materials and assist with responses for internal audits, regulatory exams, and external reviews.
• Collaborate with colleagues to identify operational risks and implement mitigation strategies.

Qualifications

• Experience: 2-4 years of compliance experience within a broker-dealer or similar financial institution.
• Knowledge: Solid understanding of U.S. regulatory frameworks (FINRA, SEC) and brokerage operations.
• Skills:
• Strong research and analytical abilities
• Excellent written and verbal communication
• High attention to detail and organizational skills
• Ability to prioritize competing deadlines in a fast-paced environment
• Collaborative and proactive work approach
• Education: Bachelor's degree or equivalent combination of education and experience.
• Licensing: Series 7 required (or ability to obtain).

Why Join

• Collaborative, inclusive, and forward-thinking environment
• Opportunities for professional growth and development
• Competitive compensation and comprehensive benefits package
• Flexible work culture and opportunities to contribute to community initiatives