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Regulatory Compliance Specialist Financial Services

Compliance Analyst – Regulatory Oversight & Trading Support

Job in Elmhurst, DuPage County, Illinois, 60126, USA
Listing for: LaSalle St. Securities
Full Time position
Listed on 2026-01-01
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
An advisory-owned independent wealth management firm based in the suburbs of Chicago seeks a Compliance Analyst. The candidate will ensure compliance with regulations, maintain organized records, and support advisors. Preferred qualifications include Series 7 & 65/66 licenses and knowledge of SEC/FINRA regulations. This is an entry-level, full-time position located in Elmhurst, IL, focusing on compliance within a collaborative and team-oriented environment.
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