LaSalle St. Securities
Founded in 1974, LaSalle St. Securities, LLC. is an advisor‑owned independent wealth management firm supporting over 325 Financial Advisors and $16B+ in AUM. Headquartered in the western suburbs of Chicago, we provide a broad range of brokerage, advisory, and investment services coupled with industry‑leading platforms that allow our affiliated registered investment advisors to effectively serve their clients.
Key Responsibilities
Serve as the first line of defense in keeping our business compliant.
Maintain accurate, organized, and current records that allow the firm to respond quickly to any inquiry or audit.
Monitor business activities to ensure the firm remains in compliance with regulations and firm policies and participate in the development, review and maintenance of our Written Supervisory Procedures.
Monitor trading activity, real‑time alerts and various reports utilizing the Sungard Protegent system.
Collaborate and communicate across all departments effectively while working independently and as part of a team.
Assist senior management in promoting a culture of compliance and efficient trading.
Provide ongoing support for registered investment advisors and registered representatives.
Review marketing materials, including social media posts.
Qualifications
Series 7 & 65/66 licenses preferred – successful completion shall be required after employment begins.
Knowledge of and experience with SEC and/or FINRA regulations preferred.
Compliance monitoring/testing experience preferred.
Strong interpersonal skills and ability to work effectively in a team environment.
Client focused with a tenacity to resolve issues and conflicts.
Seniority Level Entry level
Employment type Full‑time
Job function Legal
Referrals increase your chances of interviewing at LaSalle St. Securities by 2x.
Get notified about new Compliance Analyst jobs in
Elmhurst, IL .
#J-18808-Ljbffr
Key Responsibilities
Serve as the first line of defense in keeping our business compliant.
Maintain accurate, organized, and current records that allow the firm to respond quickly to any inquiry or audit.
Monitor business activities to ensure the firm remains in compliance with regulations and firm policies and participate in the development, review and maintenance of our Written Supervisory Procedures.
Monitor trading activity, real‑time alerts and various reports utilizing the Sungard Protegent system.
Collaborate and communicate across all departments effectively while working independently and as part of a team.
Assist senior management in promoting a culture of compliance and efficient trading.
Provide ongoing support for registered investment advisors and registered representatives.
Review marketing materials, including social media posts.
Qualifications
Series 7 & 65/66 licenses preferred – successful completion shall be required after employment begins.
Knowledge of and experience with SEC and/or FINRA regulations preferred.
Compliance monitoring/testing experience preferred.
Strong interpersonal skills and ability to work effectively in a team environment.
Client focused with a tenacity to resolve issues and conflicts.
Seniority Level Entry level
Employment type Full‑time
Job function Legal
Referrals increase your chances of interviewing at LaSalle St. Securities by 2x.
Get notified about new Compliance Analyst jobs in
Elmhurst, IL .
#J-18808-Ljbffr