Alexander Chapman
Compliance Analyst
Chicago, Illinois, US
Role snapshot
Alexander Chapman is hiring a Compliance Analyst on a full-time basis. This is a role based in Chicago, Illinois, US.
- Company
- Alexander Chapman
- Location
- Chicago, Illinois, US
- Job type
- Full-time
- Posted
- Nov 6, 2026
Who this role suits
The listing does not state a required experience level here. Read the requirements in the description below and apply if they match your background.
How to prepare your application
- Match your résumé to the requirements in the description, using the same wording where it is honest to do so.
- Prepare a short example for each requirement you meet, and be ready to explain any you only partly meet.
- Read what Alexander Chapman publishes about its product or team, so you can say clearly why this role and this company.
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About the role
Compliance Analyst | Financial Services
We’re partnering with a financial services firm seeking an experienced compliance professional to support its regulatory obligations and ongoing compliance activities.
Key Responsibilities
- Provide guidance on applicable securities regulations and evolving requirements.
- Support compliance monitoring, testing, and the review of policies and supervisory procedures.
- Coordinate responses to regulatory reviews, examinations, and requests.
- Work with internal teams to strengthen controls across business operations and trading activities.
- Assist senior compliance leadership with day-to-day matters and broader initiatives.
Qualifications
- Substantial compliance or advisory experience supporting a FINRA-registered broker-dealer.
- Experience handling regulatory examinations and interacting with regulators preferred.
- Familiarity with trading operations, technology, and controls preferred.
- Knowledge of multiple asset classes desirable.
- Series 24 required . Additional registrations and a J.D. are a plus.
- Must be authorized to work in the United States.
For further details, please apply or contact us for a confidential discussion.