Compliance Associate Envestnet Asset Management
THIS JOB HAS EXPIRED DescriptionEnvestnet, Inc. (NYSE: ENV) is a leading provider of technology-enabled wealth management solutions to investment advisors. Envestnet's Advisor Suite software empowers advisors to better manage client outcomes and strengthen their practice. Envestnet offers advanced portfolio solutions through its Portfolio Management Consultants Group, Envestnet PMC. Envestnet Tamarac provides leading rebalancing, reporting and practice management software. Envestnet Prima provides institutional-quality research and due diligence on investment and fund managers. Envestnet Vantage? gives advisors an in-depth view of clients? investments, empowering them to give holistic, personalized advice.
We offer a highly competitive compensation and benefits package as well as the excitement, challenges, and rewards of a fast-growing, entrepreneurial company.
Currently we are seeking candidates who have an enthusiasm and commitment to provide a "Best in Class" client service experience to our Financial Advisors.
POSITION: Compliance Associate
LOCATION: Chicago, IL
?Handle confidential information.
?Assist with various internal audits.
?Assist with the review in adequacy of policies, procedures and controls.
?Assisting with the review of existing controls and procedures and implementing changes as agreed upon.
?Reviewing exception reports.
?Participating in meetings with various departments as appropriate.
?Reviewing personal securities transaction reporting and maintaining records of such review in accordance with Code of Ethics.
?Updating and maintaining regulatory registrations (e.g., Form ADV Part I and II, Form BD, State Notice Filings, Investment Advisor Representatives and Registered Representatives)
?Perform additional duties as requested.
?Bachelor's degree in business or related area preferred.
?0-2 years of relevant compliance experience.
?Series 7, 24, 63, 65/66 preferred.
?Experience in working with Web IARD preferred.
?Attention to detail.
?Strong organizational skills.
?Strong analytical and problem solving skills.
?Highly developed written and oral communication skills.
?Previous relevant compliance experience working a plus.
EQUAL EMPLOYMENT OPPORTUNITY
Envestnet is committed to providing equal employment opportunities and ensuring that all employment-related decisions are made without regard to race, color, sex, age, national origin, religion, physical or mental disability (unrelated to the ability to perform job duties) veteran status, or any other protected status under applicable law.
||35 East Wacker Drive |
Chicago, IL 60601
THIS JOB HAS EXPIRED