Compliance Officer
Wintrust Investments
Location: Chicago, IL
Wintrust Wealth Management serves 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. Through our four companies, Wintrust Investments LLC, The Chicago Trust Company N.A., Great Lakes Advisors LLC, and The Chicago Deferred Exchange Company LLC, we offer comprehensive wealth management solutions, including investment, trust, and asset management services. Wintrust Wealth Management is a division of Wintrust, a financial services company with more than $45 billion in assets.
Help plan and execute compliance reviews to evaluate firm’s compliance with applicable laws, regulatory requirements and firm policies and procedures.
Gather, test and analyze business data and operations to assess level of compliance, including testing and review of customer and employee trading activity, exception reports, marketing materials, and branch office activity.
Identify control weaknesses and violations of policies and procedures applicable to both broker-dealer and investment advisory business.
Provide recommendations for improving compliance. Interact with business units to ensure resolution of compliance issues and serve as a problem solving resource for business units.
Minimum Qualifications:
Bachelor’s Degree
2 plus years’ experience with registered broker-dealer and investment adviser
Knowledge of industry regulations applicable to broker-dealers and investment advisers
Series 7, 63/65 or 66 (Series 24 and Insurance license desirable)
Strong analytical/technology and problem solving skills
Must be detail oriented
Must work well in team environment
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.