The Judge Group
Our client is seeking a Compliance Specialist to support a high-impact compliance initiative focused on discretionary investment management for IRAs and ERISA accounts. This role is part of the first line of defense, ensuring regulatory compliance and operational integrity across Wealth Management.
THIS IS A CONTRACT OPPORTUNITY THAT IS HYBRID TO DOWNTOWN CHICAGO.
RESPONSIBILITIES
Advise on IRA and ERISA fiduciary compliance, including IRC Section 4975 and Prohibited Transactions.
Develop and implement risk management procedures and training materials.
Serve as a subject matter expert and consult with internal stakeholders on IRA-related matters.
Monitor regulatory changes and support audit readiness.
Coordinate required IRA-related regulatory communications and disclosures.
QUALIFICATIONS
Deep expertise in IRA regulations, ERISA, and fiduciary standards.
Strong understanding of IRS codes and compliance frameworks.
Pay: 55-60/hr W2
Seniority level: Associate
Employment type: Contract
Job function: Legal and Other
Industries: Banking and Financial Services
Referrals increase your chances of interviewing at The Judge Group by 2x
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THIS IS A CONTRACT OPPORTUNITY THAT IS HYBRID TO DOWNTOWN CHICAGO.
RESPONSIBILITIES
Advise on IRA and ERISA fiduciary compliance, including IRC Section 4975 and Prohibited Transactions.
Develop and implement risk management procedures and training materials.
Serve as a subject matter expert and consult with internal stakeholders on IRA-related matters.
Monitor regulatory changes and support audit readiness.
Coordinate required IRA-related regulatory communications and disclosures.
QUALIFICATIONS
Deep expertise in IRA regulations, ERISA, and fiduciary standards.
Strong understanding of IRS codes and compliance frameworks.
Pay: 55-60/hr W2
Seniority level: Associate
Employment type: Contract
Job function: Legal and Other
Industries: Banking and Financial Services
Referrals increase your chances of interviewing at The Judge Group by 2x
#J-18808-Ljbffr