Compliance Analyst
Wintrust Investments
Location: Chicago, IL
Wintrust Investments is a Broker Dealer and Investment Adviser firm serving the financial needs of private clients, including high net worth individuals, business owners, and institutions. Since our founding in 1931, we have been helping clients meet their increasingly complex financial goals with the highest standards of service and integrity. We offer comprehensive wealth management solutions, including investment and asset management services.
The Compliance Analyst position is an entry level opportunity for individuals looking for a challenging and rewarding environment within the growing Financial Services Industry. The Compliance Analyst shall be responsible for supporting the compliance team’s efforts to ensure compliance with applicable laws, regulatory requirements and firm policies and procedures.
Key Duties and Responsibilities include:
• Processing licensing and registration requests (BD, IA, and Insurance)
• Administration of the firms compliance system (experience with Schwab CT or MyCompliance Office a plus)
• Assisting with the management of the Firm’s ongoing training program
• Assisting with surveillance and internal audits
• Assisting with updating firm disclosure documents
• Managing legal and subpoena requests
Minimum Qualifications:
• Bachelor’s Degree (preferred)
• Strong analytical/technology and problem solving skills
• Familiarity with Microsoft Office and Core Programs Word and Excel
• Must be detail oriented
• Must work well in team environment
About us:
Wintrust Financial Corporation, including community banking and financial services subsidiaries, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, citizenship status, sex, sexual orientation, gender identity and expressions, genetic information, marital status, age, disability, or status as a covered veteran or any other characteristic protected by law.