Compliance Associate

Company DescriptionDeerpath Capital is a leading direct lending firm specializing in providing first lien senior debt financing to middle market companies. Deerpath is focused on providing debt capital for acquisitions, refinancings, ownership transitions and growth capital to companies in the U.S. lower middle market. Deerpath has investment offices in New...

Job DescriptionJob DescriptionCompany DescriptionDeerpath Capital is a leading direct lending firm specializing in providing first lien senior debt financing to middle market companies. Deerpath is focused on providing debt capital for acquisitions, refinancings, ownership transitions and growth capital to companies in the U.S. lower middle market. Deerpath...

Invenergy drives innovation in energy. Powered by decades of entrepreneurial experience and unparalleled execution, we solve the energy challenges facing our customers and communities. We provide power generation and storage solutions at scale around the world to create a cleaner energy future. We develop. We build. We own. We operate. We are Invenergy.Job...

About Us At RSM, we are recognized as the premier provider of professional services to the middle market worldwide. Our mission is to instill confidence amidst change, enabling our clients and team members to achieve their fullest potential. Our remarkable workforce is the cornerstone of our inclusive culture and exceptional talent experience, making us...

About Us RSM is a premier provider of professional services tailored for the middle market worldwide. Our mission is to instill confidence amid change, enabling our clients and personnel to achieve their utmost potential. Our remarkable workforce is the cornerstone of our inclusive culture and exceptional talent experience, making us appealing to our...

Do you have experience working in regulatory compliance and want to help build compliant products at a FinTech company?Avant is adding to our team in Chicago! We are looking for an entrepreneurial, self-driven candidate who is passionate about compliance and interested in making a difference. You will be primarily responsible for conducting second line...

Job OverviewAt Northwestern Memorial Healthcare, we are dedicated to enhancing the patient experience through a commitment to excellence in the workplace. Our patient-centered philosophy distinguishes us as a frontrunner in the healthcare sector. As a vital member of our organization, you will contribute to our mission of improving healthcare delivery across...

BGSF is partnering with a leading insurance firm to recruit an Underwriting Audit Specialist. This position presents an excellent pathway for professional growth.Key Responsibilities:Evaluate and verify a range of insurance and non-insurance initiatives to ensure adherence to regulatory standards.Establish and uphold auditing protocols to mitigate risks and...

About the RoleWe are seeking a highly skilled Senior Associate to join our Risk Consulting practice at RSM. As a key member of our team, you will be responsible for leading and delivering regulatory compliance internal audits, assessments, model validations, and other services at client locations within financial institutions.Key ResponsibilitiesExecute...

Job Title: Compliance Associate (Investment Advisory & ERISA)Location: RemoteJob Overview:We are looking for a meticulous Compliance Associate to bolster our investment advisory division, ensuring adherence to regulatory standards, particularly those outlined by ERISA. The successful candidate will possess a background in investment advisory, coupled with a...

Position Title: Compliance Associate (Investment Advisory & ERISA)Location: RemotePosition Overview:We are looking for a meticulous Compliance Associate to assist our investment advisory division in maintaining adherence to regulatory standards, particularly those outlined by ERISA. The successful candidate will possess a robust background in the investment...

This position is not eligible for current or future Sponsorship.What You'll Do:This role will report to the Manager, Compliance Monitoring and will provide technical solutions for the programs that oversee compliance with OCC's regulatory and internal control environment. This includes, but is not limited to, facilitating the automation of the organization's...

Job Title: Compliance OfficerLocation: Chicago, IL (Hybrid)Duration: 4 monthsContract Type: W2 onlyPay Rate Range: $36.00 - $41.00/HourRole Responsibilities:Registering all individuals for current client roles in according with FINRA.Monitor and ensure items such as registrations, licenses, exams, study orders, continuing education requirements are all...

Job Title: Compliance OfficerLocation: Chicago, IL (Hybrid)Duration: 4 monthsContract Type: W2 onlyPay Rate Range: $36.00 - $41.00/HourRole Responsibilities:Registering all individuals for current client roles in according with FINRA.Monitor and ensure items such as registrations, licenses, exams, study orders, continuing education requirements are all...

Hybrid role with 3 days in Chicago officeManage corporate governance, CTA and compliance for portfolio of entities About Our Client Private equity portfolio company. Job Description MAIN RESPONSIBILITIES:Oversee a portfolio of entities in the Americas (US, CAN, LATAM), maintaining and filing corporate governance materials for said entities in the...

Job Description The Associate General Counsel reflects the mission, vision, and values of NM, adheres to the organization’s Code of Ethics and Corporate Compliance Program, and complies with all relevant policies, procedures, guidelines and all other regulatory and accreditation standards. Responsibilities: Provide legal representation to NMHC in...

Job DescriptionJob DescriptionCompany DescriptionAt Northwestern Medicine, every patient interaction makes a difference in cultivating a positive workplace. This patient-first approach is what sets us apart as a leader in the healthcare industry. As an integral part of our team, you'll have the opportunity to join our quest for better healthcare, no...

Job Title: Compliance Advisor (Investment Advisory & ERISA, RIA)Location: Chicago, IL or Petersburg, FLPosition Overview:We are looking for a meticulous Compliance Advisor to assist our investment advisory division in maintaining adherence to regulatory standards, particularly those set forth by the SEC and ERISA. The successful candidate will possess a...

Job Description Job DescriptionAs a team member within Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help us grow our business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and...

Position Summary: The Chief Compliance Officer (“CCO”) is ultimately responsible for the compliance functions of the RIA, Oxford Financial Group, LLC (“Oxford”) and the commodity pool operator. This role is key to ensuring Oxford complies with SEC regulatory rules and to lead the compliance team in its activities. The CCO is responsible for the...