26 days old

Compliance Officer

Wintrust Financial Corporation
Chicago, IL 60602
  • Job Code
    21314
  • Jobs Rated
    23rd

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 three divisions, 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 firms 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:

  • Bachelors 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.







Jobs Rated Reports for Compliance Officer

Posted: 2021-07-06 Expires: 2021-08-04
Sponsored by:
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Sponsored by:
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Compliance Officer

Wintrust Financial Corporation
Chicago, IL 60602

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Compliance Officer
23rd2019 - Compliance Officer
Overall Rating: 23/199
Median Salary: $67,870

Work Environment
Very Good
22/220
Stress
Very Low
2/220
Growth
Poor
176/220
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