JOB TITLE: Examiner – Member Regulation - Compliance Exams
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.
Founded in 1882, the Chicago Stock Exchange (CHX) is one of the oldest full-service national securities exchanges in the United States (US). CHX offers robust and high-performance technology – including a compact set of order types and innovative trading functionalities such as CHX|snap℠, an on-demand equity auction designed to provide a level playing field for all market participants. CHX competes with all US equity markets and offers the ability to transact business in nearly all equity securities traded on NYSE, NASDAQ, BATS, or other national securities exchanges.
Our employees (and covered dependents) enjoy a comprehensive benefits package, currently including:
401(k) Savings Plan with Company Match
Medical and Dental Coverage;
Short-Term Disability Salary Continuation and Long-Term Disability Insurance
Flexible Spending Accounts (pre-tax) for Medical, Dependent Care & Transportation Expenses
Generous paid time-off benefits, including Vacation, Holidays and additional Personal Use Days
Work-attire is relaxed/casual. CHX is very conveniently located near all major transportation. To learn more about CHX, our history and future, please visit our website at www.chx.com .
Salary history is strongly desired for consideration. In compliance with Federal Law, all persons hired will be required to verify identity and eligibility to work in the United States, and to complete the required Employment Eligibility Verification form upon hire.