Compliance Associate
The Inland Real Estate Group of Companies, Inc.
Downers Grove, IL0–2 yrs1h agovia LinkedIn
Key Responsibilities
- Assist with compliance monitoring, testing, policies, procedures, and controls
- Monitor regulatory developments and support compliance reviews and risk assessments
- Support FINRA supervisory processes and regulatory documentation
- Assist with registered representative licensing records and Form U4/U5 administration
- Review Outside Business Activity (OBA) and Private Securities Transaction (PST) submissions
- Assist with sales practice surveillance and customer complaint tracking
- Support Code of Ethics administration, including personal trading reports and employee certifications
- Assist with Form ADV updates and investment adviser compliance activities
- Coordinate the submission and tracking of marketing and advertising materials
- Verify required disclosures and supporting documentation
- Assist with FINRA advertising filings and related recordkeeping
- Gather documentation for SEC and FINRA examinations and internal audits
- Track examination findings, remediation activities, and deadlines
- Prepare routine compliance reports and metrics
- Coordinate employee compliance training, certifications, and annual attestations
Requirements & Tech Stack
- Bachelor's degree in business, finance, accounting, economics, legal studies, or a related field, or equivalent education and experience
- 0–2 years of experience in compliance, financial services, legal, audit, risk management, operations, or a related area
- Relevant internship experience is a plus
- Strong attention to detail and organizational skills
- Ability to review information and documentation for accuracy and completeness
- Strong analytical and problem-solving skills
- Excellent written and verbal communication skills
- Ability to manage multiple priorities and meet deadlines
- High level of integrity, professionalism, and discretion
- Collaborative approach and ability to work effectively across departments
- Proficiency with Microsoft Excel, Word, Outlook, and PowerPoint
Professional Development
- Securities Industry Essentials (SIE) Examination
- FINRA Series 7 license
- FINRA Series 24 license as responsibilities progress
- Investment Adviser Certified Compliance Professional (IACCP) designation