Compliance Associate R.J. O'Brien & Associates
Administer the rules and regulations of the commodity industry, as well as the internal policies and procedures of R.J. O?Brien & Associates, LLC.
Duties & Responsibilities
Responsibilities include, but are not limited to:
Review new account applications for completeness and ensure all required legal documents have been received.
Monitor customer profiles for futures trading suitability and acceptability.
Correspond with brokers to resolve account application questions and issues.
Detailed tracking of workflow required.
Assist in reviewing the monthly commission/equity report for discretionary accounts. Daily review of Single-Stock Futures trading.
First point of contact for general compliance inquiries received from customers, IB?s, or RJO AP?s via phone and email.
Assist other members of the Compliance Department as required.
Experience & Skills Required
2 to 4 years progressive experience with industry rules and regulations.
Ability to effectively communicate in writing as well as over the phone.
Ability to develop a relationship with customers and associates of company.
Must be able to work on a number of different tasks at the same time. Word processing skills are essential.
Strong organizational and analytical skills are essential.
Bachelor?s Degree in Business or Equivalent Industry Experience
Intermediate Level Microsoft Office Suite (Outlook, Excel, Word), GMI - AS400
Series 3 License or within 30 days of hire
||222 South Riverside Plaza |
Chicago, IL 60606