Regulatory Editor / Compliance Specialist

THE COMPANY:

optionsXpress is the leading online broker for the rapidly expanding equity options and futures markets. We are a dynamic financial services e-commerce company headquartered in downtown Chicago, Illinois . optionsXpress provides investors with powerful analytical tools, interactive education, superior order execution, live option commentary and integrated risk management. In seven short years we have built a dynamic, innovative company. Success like that doesn't happen without the best people and we're looking to add to our outstanding base of diverse, creative and exceptional talent. Why work for us? Everyone shares in the success through bonuses, stock options, meaningful merit increases and good benefits, along with ever-increasing opportunity to learn, grow and be recognized for your contributions. We hire the best and reward accordingly. If that fits your career goal, then we want to hear from you.

DUTIES:

Primarily responsible for the review and editing of the Firm’s marketing and communication materials for adherence with regulatory requirements, federal securities laws and company standards.  Will work as a liaison between Marketing, Education and Legal & Compliance.   Will also be responsible for various compliance tasks, review of retail activity and issue resolution among other compliance duties common at an online discount brokerage.  Other duties will include assisting with compliance monitoring and reviews, assisting with compliance of Customer Identification Programs as well as the USA Patriot Act.  Manage current procedures and implement new/revised regulations. Previous advertising review or regulatory editing experience a plus.

QUALIFICATIONS:Professional and detail oriented with good communication skills. Excellent computer knowledge and comfort with MS Office suite. Ability to manage many projects/tasks at the same time or "multi-task" Ability to perform under pressure and under tight deadlines.   Knowledge of FINRA and SEC regulations as they relate to customer communications is a plus!

 Current Series 7 and 63 licenses desired with the ability to pass Series 4 and 24 within ninety days.

 

This is an excellent opportunity for a dynamic, career oriented individual looking for an opportunity to directly impact the growth and continued success of our organization, with strong rewards for strong results. If you’re interested in joining our team, please send your resume, along with a cover letter, to jobs@optionsxpress.com