LaSalle St. Securities

Compensation

Full Description

Company Description Founded in 1974, LaSalle St. Securities, LLC is an advisor-owned independent wealth management firm headquartered in the western suburbs of Chicago. We support over 325 Financial Advisors and manage $15B+ in assets under management (AUM). Our firm provides a broad range of brokerage, advisory, and investment services through leading industry platforms, enabling affiliated registered investment advisors to effectively serve their clients. We are a member of FINRA/SIPC. Role Description -Serve as the first line of defense in keeping our business compliant. You’ll 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 trading. -Provide ongoing support for registered investment advisors and registered representatives. -Review of 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 - Excellent verbal and writing skills and attention to detail - Strong interpersonal skills and ability to work effectively in a team environment - Ability to manage multiple projects and deadlines simultaneously - Highly organized and an ability to interact and engage with employees at all levels - Excellent computer skills: MS Office Suite (Access, Excel, Word) - Client focused with a tenacity to resolve issues and conflicts