Associate, Robert Half

Associate

Robert Half

Location:

United States, Elmhurst

Category:

Finance

Contract Type:

Employment contract

Salary:

60000.00 - 65000.00 USD / Year

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Job Description:

We are in search of a dedicated associate to join our team in Elmhurst, Illinois. In this role, you will be taking on vital tasks such as maintaining and organizing records, ensuring compliance with regulations, and providing support for registered advisors. This opportunity is in the financial services industry, where you will be instrumental in promoting a culture of compliance and trading.

Job Responsibility:

Ensuring the firm's operations remain in compliance with relevant regulations and company policies
Maintaining and organizing current records to allow for prompt response to inquiries or audits
Providing support for registered investment advisors and registered representatives
Reviewing marketing materials, including scrutinizing social media posts
Monitoring trading activity and real-time alerts using specific systems
Collaborating effectively across all departments while also having the capability to work independently
Assisting in the development, review, and maintenance of Written Supervisory Procedures
Using compliance software and other tools for efficient and effective compliance monitoring

Requirements:

Minimum 3 years of experience
Adequate knowledge of ATS - Asynchronous Transfer Mode
Experience with Compliance software
Familiarity with CRM systems
Skilled in using EHR SYSTEM
Understanding of AML - Anti Money Laundering
Experience in Auditing
Excellent Communication skills
Proven experience in Complaint Handling
Ability to handle Inbound Telephone Calls efficiently

What we offer:

Medical
Dental
401k with a 4% company match

Additional Information:

Job Posted:

March 25, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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