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Compliance Operations Associate

Oakbrook Terrace, IL 60181

Posted: 11/17/2023 Employment Type: Permanent Category: Wealth Management Job Number: 22564 Pay Range: $75,000 - $85,000 DOE Remote Options:

Job Description

A financial and retirement planning firm in Oakbrook Terrace, IL is seeking a Compliance Operations Associate to focus on compliance and/or operations.  They are looking for a dynamic individual with a background in financial services, preferably at an RIA or investment advisory firm who is knowledgeable about compliance and has an interest and skill in trading operations.  What sets this opportunity apart is your ability to actively shape and define the role based on your unique skills and interests.  You can look forward to a great benefits package, flexible time off and much more!
Pay Range:
$75,000 - $85,000 DOE

  • Supervise accounts and ensure compliance with regulations
  • Assist with internal reviews and monitoring of accounts
  • Financial report analysis
  • Place trades on software platform
  • Collaborate with the internal CSA reps to facilitate withdrawals and trades
  • Utilize financial software tools such as Morningstar, Riskalyze, eMoney, and tax planning software
  • Maintain a high level of attention to detail to identify and correct errors

  • 2-3 years of experience in financial services, preferably in compliance or operations (Charles Schwab expertise is a plus)
  • Series 65 and Series 7 licenses is preferred
  • Bachelor's degree is a plus but not required

  • Health insurance
  • PTO + Paid holidays
  • 401K with 3% match
  • Potential hybrid schedule
  • Growth potential

If you are seeking an opportunity to actively shape your role in financial compliance or operations according to your interests and skills, this position offers the right platform for your career growth and success!

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