Supervisory Analyst; Chicago

Chicago, Illinois

Job Function:

Our client is seeking a full time Supervisory Analyst in the Supervisory Control Group (SCG). SCG is a new group which will aid in the maintenance of the firms’ supervisory program.


The position is located in Chicago, Illinois  

 Conducting supervisory reviews
 Scheduling and carrying out periodic meetings with business line managers regarding supervisory reviews
 Escalating issues identified in the reviews to the business line managers and Legal and Compliance
 Drafting written supervisory procedures and revising existing written supervisory procedures as necessary
 Developing management information on trends noted in conducting the supervisory reviews
 Managing the tool used to evidence supervisory reviews, including updates and enhancement priority
 Working on firm wide projects, assessing the impact of each project on supervision and implementing any necessary enhancements required by each project


 Bachelors’ degree
 5-7 years securities industry experience
 FINRA Series 24 registration and a Series 4 (Series 4 can be acquired after hire)
 Knowledge of securities markets and regulation of electronic trading
 Strong technical skills
 Great attention to detail and are process-oriented
 Intellectual curiosity and an entrepreneurial mind
 An adaptive, flexible style – able to work in a dynamic, fast-paced environment
 Excellent grammar, written and oral communication skills
 Demonstrated ability to manage projects

Contact Details:

Steve Cebel