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Compliance Analyst

Kforce Inc
Posted Jun 10
Contract
Chicago, Illinois

Responsibilities

Kforce has a client that is seeking a Compliance Analyst in Chicago, IL. Summary: The US Registrations team is looking to backfill an associate. The selected candidate will work in partnership with a senior associate and will support the team managing regulatory governance projects in accordance with company requirements. Responsibilities:

  • Registering all individuals for current roles within the company in according with FINRA
  • Monitor and ensure items such as registrations, licenses, exams, study orders, continuing education requirements are all accurate and on time
  • As a Compliance Analyst, you will track and follow up on outstanding compliance requirements
  • Handle ad hoc FINRA Inquiries
  • Analyzing data downloads

Requirements

  • 5 years of 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

The pay range is the lowest to highest compensation we reasonably in good faith believe we would pay at posting for this role. We may ultimately pay more or less than this range. Employee pay is based on factors like relevant education, qualifications, certifications, experience, skills, seniority, location, performance, union contract and business needs. This range may be modified in the future.

We offer comprehensive benefits including medical/dental/vision insurance, HSA, FSA, 401(k), and life, disability & ADD insurance to eligible employees. Salaried personnel receive paid time off. Hourly employees are not eligible for paid time off unless required by law. Hourly employees on a Service Contract Act project are eligible for paid sick leave.

Note: Pay is not considered compensation until it is earned, vested and determinable. The amount and availability of any compensation remains in Kforce's sole discretion unless and until paid and may be modified in its discretion consistent with the law.

This job is not eligible for bonuses, incentives or commissions.

Kforce is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity, national origin, age, protected veteran status, or disability status.