Description + Perform quality checks on data accuracy to ensure the integrity of the regulatory reports + Monitor trading activity for potential violations of regulatory rules and internal policies, escalating issues to compliance officers when necessary. + Gather trade data from internal systems, and analyze trading activity to identify potential compliance concerns related to market manipulation, insider trading, best execution, and other regulatory requirements. + Prepare and submit various regulatory reports including daily, weekly, and monthly reports such as CFTC FORM 1-FR, FINRA FOCUS, and other required filings based on specific regulatory guidelines. + Regulatory Updates: Stay informed about changes in securities regulations and industry best practices, updating reporting procedures accordingly. + Work with various departments including accounting, trading, compliance, operations, and legal to gather information and address regulatory concerns. + Assist internal and external auditors with regulatory reporting related inquiries. Additional Skills & Qualifications + Bachelor's Degree in Accounting or Finance required + FINRA Series 99, required to complete within 60 days of employment Other Qualifications: + 2-5 years of accounting experience, ideally in broker-dealer regulatory reporting + Deep understanding of securities markets, trading mechanisms, and relevant financial instruments. + Thorough knowledge of NFA, SEC, FINRA, and other applicable securities regulations. + Proficiency in data manipulation, analysis, and reporting tools to extract and interpret complex data sets. + Ability to meticulously review data and reports for accuracy and completeness. + Excellent written and verbal communication skills to effectively convey complex regulatory issues Experience Level + Intermediate Level Pay and Benefits The pay range for this position is $40.00 - $45.00 Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following: • Medical, dental & vision • Critical Illness, Accident, and Hospital • 401(k) Retirement Plan – Pre-tax and Roth post-tax contributions available • Life Insurance (Voluntary Life & AD&D for the employee and dependents) • Short and long-term disability • Health Spending Account (HSA) • Transportation benefits • Employee Assistance Program • Time Off/Leave (PTO, Vacation or Sick Leave) Workplace Type This is a fully onsite position in Chicago,IL. Application Deadline This position will be accepting applications until Jan 31, 2025. About Aston Carter: Aston Carter provides world-class corporate talent solutions to thousands of clients across the globe. Specialized in accounting, finance, human resources, talent acquisition, procurement, supply chain and select administrative professions, we extend the capabilities of industry-leading companies. We draw on our deep recruiting expertise and expansive network to meet the evolving needs of our clients and talent community with agility and excellence. With offices across the U.S., Canada, Asia Pacific and Europe, Aston Carter serves many of the Fortune 500. We are proud to be a ClearlyRated Best of Staffing® double diamond winner for both client and talent service. Diversity, Equity & Inclusion At Aston Carter, diversity and inclusion are a bridge towards the equity and success of our people. DE&I are embedded into our culture through: + Hiring diverse talent + Maintaining an inclusive environment through persistent self-reflection + Building a culture of care, engagement, and recognition with clear outcomes + Ensuring growth opportunities for our people The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law. If you would like to request a reasonable accommodation, such as the modification or adjustment of the job application process or interviewing process due to a disability, please email astoncarteraccommodation@astoncarter.com (%20astoncarteraccommodation@astoncarter.com) for other accommodation options.