Wintrust Wealth Management serves the financial needs of private clients, including high net worth individuals, business owners, and institutions. Since our founding in 1931, we have been helping clients meet their increasingly complex financial goals with the highest standards of service and integrity. Through our four companies, Wintrust Investments LLC, The Chicago Trust Company N.A., Great Lakes Advisors LLC, and The Chicago Deferred Exchange Company LLC, we offer comprehensive wealth management solutions, including investment, trust, and asset management services. Wintrust Wealth Management is a division of Wintrust, a financial services company with more than $50 billion in assets.

Wintrust is a financial holding company with approximately $50 billion in assets under management and traded on the NASDAQ: WTFC. Built on the "HAVE IT ALL" model, Wintrust offers sophisticated technology and resources of a large bank while focusing on providing service-based community banking to each and every customer. Wintrust operates fifteen community bank subsidiaries with over 170 banking locations in the greater Chicago and southern Wisconsin market areas. Additionally, Wintrust operates various non-bank business units, including commercial and life insurance premium financing, short-term accounts receivable financing, out-sourced administrative services, mortgage origination and purchase, wealth management services, and qualified intermediary services for tax-deferred exchanges.

Why join us?

• An award-winning culture! We are rated a Top Workplace by the Chicago Tribune (past 8 years) and Employee Recommended award by the Globe & Mail (past 6 years)    


• Competitive pay and discretionary or incentive bonus eligible


• Comprehensive benefits package including medical, dental, vision, life, a 401k plan with a generous company match, and tuition reimbursement, to name a few


• Family-friendly work hours


• Promote from within culture

Why join this team? 

• We are a growing team with a fast-paced, collaborative, team-centric, positive culture


• We hold ourselves to the highest standard of service and integrity in the industry


• We have a strong reputation for quality service and impeccable ethics


• Strong track record of valuing and investing in existing talent by providing opportunities for growth and advancement

What You'll Do

• Help plan and execute compliance reviews to evaluate firm’s compliance with applicable laws, regulatory requirements, and firm policies and procedures.


• Gather, test, and analyze business data and operations to assess the level of compliance, including testing and review of customer and employee trading activity, exception reports, marketing materials, and branch office activity. 


• Identify control weaknesses and violations of policies and procedures applicable to both broker-dealers and investment advisory business.


• Provide recommendations for improving compliance.


•  Interact with business units to ensure resolution of compliance issues and serve as a problem-solving resource for business units.   

Qualifications

• Bachelor’s Degree


• 2 plus years’ experience with registered broker-dealer and investment adviser


• Knowledge of industry regulations applicable to broker-dealers and investment advisers


• Series 7, 63/65, or 66 (Series 24 and Insurance license desirable)


• Strong analytical/technology and problem-solving skills


• Must be detail-oriented


• Must work well in a team environment

Medical Insurance • Dental • Vision • Life insurance • Accidental death and dismemberment • Short-term and long term Disability Insurance • Parental Leave • Employee Assistance Program (EAP) • Traditional and Roth 401(k) with company match • Flexible Spending Account (FSA) • Employee Stock Purchase Plan at 5% discount • Critical Illness Insurance • Accident Insurance • Transportation and Commuting Benefits • Banking Benefits • Pet Insurance

EEOC Statement

From our first day in business, Wintrust has been proud to serve a variety of unique communities and people from all walks of life. To be Chicago’s Bank® and Wisconsin's Bank®, we need to reflect that diversity both in all the communities we serve, the people we employ, the organizations we work with, and our banking and lending practices. Wintrust Financial Corporation, including community banking and financial services subsidiaries, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, sex, sexual orientation, gender identity and expressions, genetic information, marital status, age, disability, or status as a covered veteran or any other characteristic protected by law.