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Regulatory Analyst in Chicago, IL at ettain group

Date Posted: 11/30/2018

Job Snapshot

  • Employee Type:
  • Location:
    Chicago, IL
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:

Job Description

Chicago, IL -

Job Title:  Regulatory Analyst

Location:  Chicago, IL

Industry:  Financial

Terms:  6-12 month Contract

Job Title Job Summary:

  • The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of applicable federal securities laws and rules and regulations. This is basic-level professional work in which incumbents are performing their assigned roles, developing job-related skills, and working under limited supervision.
    Job Title Job Responsibilities:
  • Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity. Conducts routine reviews and investigations into possible violations of the rules and federal securities laws. Confers with senior staff and subject matter experts for guidance on complex issues.
  • Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity.
  • Through the review/investigative process the Analyst resolves situations that may impact the integrity of Nasdaq or other markets.
  • Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant SEC rules and regulations; performs preventive compliance functions.
  • Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion.
  • Utilizes computer resources and software applications for data analysis pursuant to investigation/review procedures.
  • Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility.

Job Title Job Requirements:

  • Bachelor’s degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.
  • A minimum of three years of directly related experience.
  • Knowledge of relevant SEC rules and regulations. Knowledge of securities markets, member firm operations, books and records.
  • Ability to conduct telephone interviews.
  • Ability to initiate and complete quality reviews.
  • Competence using a desktop computer with the full suite of office software applications.

Frequently Asked Questions:

  • Benefits?  Yes, provided by ettain group
  • Remote Workers?  Not eligible, must work onsite with the team
  • Visa Sponsorship?  Not offered
  • Corp-to-Corp?  Not eligible

How to Apply:

For immediate attention please apply

ettain group is a talent solutions company dedicated to matching people with the most relevant employment opportunities in IT, healthcare IT and the digital creative space. Top employers and highly skilled talent throughout the U.S. select ettain group for a better recruitment experience. Our culture empowers teams with the flexibility to deliver a superior candidate experience and client experience using market intelligence. We recruit resources, own projects and manage programs to offer a wide range of IT development and talent solutions to our clients and candidates. To learn more about ettain group visit To explore more job opportunities with ettain group, visit


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