Company Name : The Chicago Stock Exchange, Inc.
Job Title : Examiner – Member Regulation – Compliance Exams
Job Location : Chicago, IL
Link Where Candidate to Apply : http://bit.ly/2BjOQRr
Job Description : Position Opening
Date Posted: February 7, 2018
Salary Range: $55,000 to $65,000
Conducts risk-based examinations of designated broker/dealers, including financial statements, operations, and procedures, to ensure compliance with the Securities and Exchange Commission (SEC) and the Chicago Stock Exchange (CHX) Rules and Regulations. Monitors assigned designated Self-Clearing Participants’ financial condition to ensure compliance with CHX and National Securities Clearing Corp. rules.
PRINCIPAL RESPONSIBILITIES AND ACTIVITIES:
Responsible for an assigned number of designated broker/dealer Participants in-office and out-of-town examinations, as determined by the Department Manager/Director.
Review and analyze consolidated financial reports and certified audits submitted by Participants to determine compliance with CHX and SEC financial rules and regulations.
Provide assistance to new and existing CHX Participants regarding SEC and CHX Regulatory Requirements as they relate to business, financial, and operational capabilities and procedures. Assists with regulatory requirements related to Participant Services and Listings Departments.
Conduct reviews of CHX applicants and provides management with analysis of applicant’s business, financial, and operational capabilities.
Participate in additional projects as needed.
A Bachelor’s degree in accounting, finance or related field is required. Previous experience in auditing or financial analysis is desirable. The position requires attention to detail, excellent oral and written communication skills, organizational skills, familiarity with Generally Accepted Accounting Principles and auditing standards, and a fundamental understanding of the Securities industry. 15% overnight travel to Participant locations is required.
Contact Name: Brian P. Malone
Contact Email: email@example.com