We have other current jobs related to this field that you can find below
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Compliance Advisor
3 weeks ago
Chicago, United States Mitchell Martin Inc. Full timeJob Title: Compliance Advisor (Investment Advisory & ERISA, RIA)Location: Chicago, IL or Petersburg, FLJob Description:We are seeking a detail-oriented Compliance Advisor to support our investment advisory team, ensuring compliance with regulatory requirements, including SEC Compliance and ERISA guidelines. The ideal candidate will have experience in the...
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Compliance Advisor
3 weeks ago
Chicago, United States Mitchell Martin Inc. Full timeJob Title: Compliance Advisor (Investment Advisory & ERISA, RIA)Location: Chicago, IL or Petersburg, FLJob Description:We are seeking a detail-oriented Compliance Advisor to support our investment advisory team, ensuring compliance with regulatory requirements, including SEC Compliance and ERISA guidelines. The ideal candidate will have experience in the...
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Environmental Health
2 months ago
Chicago, United States United States Compliance Company Full timeEnvironmental Health & Safety Advisor (IL) U.S. Compliance Environmental Health & Safety Advisor (IL) Chicago, IL 60608 Are you passionate about safety? Do you enjoy a challenge and like working in a fast-paced environment? Do you get excited about building relationships and making a difference in your community? If you’ve answered “YES” to the above,...
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Analyst - Financial Advisor Compliance - Temp
4 weeks ago
Chicago, United States Interactive Brokers Full timeJob DescriptionJob DescriptionAbout INTERACTIVE BROKERS!This is Hybrid role (3 days in office /2 days remote)Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the...
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Analyst - Financial Advisor Compliance - Temp
4 weeks ago
Chicago, United States Interactive Brokers Full timeAbout INTERACTIVE BROKERS!This is Hybrid role (3 days in office /2 days remote) Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push boundaries to...
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Senior Compliance and Ethics Advisor
2 days ago
Chicago, Illinois, United States Help At Home Full timePosition OverviewHelp at Home stands as the foremost national provider of in-home personal care services, dedicated to empowering individuals to maintain their independence and dignity within their homes. Our organization supports a vast network of clients through the commitment of compassionate caregivers across multiple states. We seek individuals who are...
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Chicago, Illinois, United States Bank of America Full timeRegulatory Compliance and Risk Management AdvisorLocation: Chicago, Illinois; Charlotte, North CarolinaPosition Overview:Become a vital member of the Bank of America team, where we are committed to promoting Responsible Growth and cultivating a diverse and inclusive work environment. As a Regulatory Compliance and Risk Management Advisor, you will be...
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Senior Compliance and Ethics Advisor
2 days ago
Chicago, Illinois, United States Help At Home Full timePosition OverviewHelp at Home stands as the foremost national provider of in-home personal care services, dedicated to empowering individuals to maintain their independence and dignity within their homes. Our organization supports a vast network of clients and caregivers across multiple states, and we are in search of individuals who are passionate about...
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Senior Legal Advisor – UK/EU Compliance
2 days ago
Chicago, Illinois, United States McCormack Schreiber Legal Search Full timeLegal Advisor for UK/EU Compliance (Fluency in German Required)Position Overview:We are collaborating with a leading global investment management firm seeking a skilled regulatory and compliance attorney to fill the role of Legal Advisor. This position can be based in either Chicago or New York and focuses on the legal and regulatory obligations in the UK...
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Chicago, Illinois, United States Help At Home Full timeHelp at Home is the leading national provider of in-home personal care services, where our mission is to enable individuals to live with independence and dignity at home. Our team supports 66,000 clients monthly with the help of 53,000 compassionate caregivers across 12 states. We're looking for people who care about others, who are willing to listen, lean...
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Chicago, United States Help At Home Full timeHelp at Home is the leading national provider of in-home personal care services, where our mission is to enable individuals to live with independence and dignity at home. Our team supports 66,000 clients monthly with the help of 53,000 compassionate caregivers across 12 states. We’re looking for people who care about others, who are willing to listen,...
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Service Support Field Advisor
4 weeks ago
Chicago, United States Rivian Full timeAbout Rivian Rivian is on a mission to keep the world adventurous forever. This goes for the emissions-free Electric Adventure Vehicles we build, and the curious, courageous souls we seek to attract. As a company, we constantly challenge what's possible, never simply accepting what has always been done. We reframe old problems, seek new solutions and...
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Chicago, United States Help At Home Full timeJob DescriptionJob Description Help at Home is the leading national provider of in-home personal care services, where our mission is to enable individuals to live with independence and dignity at home. Our team supports 66,000 clients monthly with the help of 53,000 compassionate caregivers across 12 states. We’re looking for people who care about others,...
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Health & Safety Consultant
3 months ago
Chicago, United States U S Compliance Full timeAre you passionate about safety? Do you enjoy a challenge and like working in a fast-paced environment? Do you get excited about building relationships and making a difference in your community? If you've answered "YES" to the above, the Environmental Health and Safety Client Advisor role at U.S. Compliance is for you! Our EHS Client Advisors work closely...
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Health & Safety Consultant
5 days ago
Chicago, United States U S Compliance Full timeAre you passionate about safety? Do you enjoy a challenge and like working in a fast-paced environment? Do you get excited about building relationships and making a difference in your community? Are you fluent in Spanish? If you've answered "YES" to the above, the Environmental Health and Safety Client Advisor role at U.S. Compliance is for you! Our EHS...
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Compliance Specialist
3 weeks ago
Chicago, United States Addison Group Full timeCompliance SpecialistLocation: 100% Remote – Will be working on EST or CST time.Industry: Wealth ManagementPay: $30 - $35/hrAbout Our Client:Our client is a reputable firm in the wealth management sector, committed to providing comprehensive investment and financial planning services. They are currently expanding their team and looking for a Compliance...
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Compliance Specialist
4 weeks ago
Chicago, United States Addison Group Full timeCompliance Specialist Location: 100% Remote – Will be working on EST or CST time. Industry: Wealth Management Pay: $30 - $35/hrAbout Our Client:Our client is a reputable firm in the wealth management sector, committed to providing comprehensive investment and financial planning services. They are currently expanding their team and looking for a Compliance...
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Compliance Specialist
3 weeks ago
Chicago, United States Addison Group Full timeCompliance Specialist Location: 100% Remote – Will be working on EST or CST time. Industry: Wealth Management Pay: $30 - $35/hrAbout Our Client:Our client is a reputable firm in the wealth management sector, committed to providing comprehensive investment and financial planning services. They are currently expanding their team and looking for a Compliance...
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Compliance Specialist
4 weeks ago
Chicago, United States Addison Group Full timeJob DescriptionJob DescriptionCompliance Specialist Location: 100% Remote – Will be working on EST or CST time. Industry: Wealth Management Pay: $30 - $35/hrAbout Our Client:Our client is a reputable firm in the wealth management sector, committed to providing comprehensive investment and financial planning services. They are currently expanding their team...
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Regulatory Compliance Analyst
2 days ago
Chicago, Illinois, United States Addison Group Full timeRegulatory Compliance AnalystLocation: 100% Remote – Will be working on EST or CST time.Industry: Wealth ManagementPay: $30 - $35/hrAbout Addison Group:Addison Group is a distinguished firm in the wealth management industry, dedicated to delivering extensive investment and financial planning solutions. As they expand their workforce, they are seeking a...
Futures Compliance Advisor
2 months ago
Our client, a growing broker dealer is seeking a knowledgeable and detail-oriented FCM Compliance Advisory Specialist to oversee our compliance program and ensure adherence to regulatory requirements for our Futures Commission Merchant (FCM) operations. The ideal candidate will have a strong background in regulatory compliance, risk management, and the futures and commodities markets.
Key Responsibilities:
- Regulatory Compliance: Ensure adherence to all applicable regulations, including CFTC, NFA, and SEC requirements. Keep up-to-date with changes in regulations and adjust compliance strategies as needed.
- Advisory Services: Provide expert advice on compliance matters to senior management, trading teams, and other stakeholders. Develop and maintain compliance policies and procedures for FCM activities.
- Risk Management: Identify and assess compliance risks related to trading activities, operations, and business strategies. Recommend and implement risk mitigation measures.
- Training & Development: Develop and deliver training programs for employees on regulatory requirements, compliance procedures, and best practices.
- Monitoring & Reporting: Conduct regular compliance reviews and audits to ensure that all activities are in line with regulatory standards. Prepare and submit regulatory reports and documentation as required.
- Incident Management: Investigate and resolve compliance issues, including potential violations, and coordinate with regulatory authorities as needed.
Qualifications:
- Education: Bachelor’s degree in Finance, Accounting, Business Administration, or a related field. Advanced degrees or certifications (e.g., CRCM, CFE) are a plus.
- Experience: Minimum of 5 years of experience in a compliance role within the financial services industry, with a strong focus on FCM operations.
- Knowledge: In-depth understanding of FCM regulations, CFTC and NFA rules, and compliance best practices.
- Skills: Excellent analytical and problem-solving skills, strong attention to detail, and the ability to communicate complex regulatory concepts clearly.
- Technology: Proficiency with compliance management systems and Microsoft Office Suite. Experience with compliance software and data analysis tools is a plus.
