We have other current jobs related to this field that you can find below
-
Senior Compliance Officer
2 days ago
Chicago, United States Bitnomial Full timeAbout Bitnomial:Bitnomial is building the next generation US-based global derivatives exchange, starting with digital assets and progressively expanding to encompass a full spectrum of commodities worldwide. Bitnomial operates a US CFTC regulated exchange (DCM),clearinghouse (DCO), and brokerage (FCM). Bitnomial offers the Bitcoin Complex comprising...
-
Senior Compliance Officer
17 hours ago
chicago, United States Bitnomial Full timeAbout Bitnomial:Bitnomial is building the next generation US-based global derivatives exchange, starting with digital assets and progressively expanding to encompass a full spectrum of commodities worldwide. Bitnomial operates a US CFTC regulated exchange (DCM),clearinghouse (DCO), and brokerage (FCM). Bitnomial offers the Bitcoin Complex comprising...
-
Senior Compliance Officer
2 days ago
Chicago, United States Bitnomial Full timeAbout Bitnomial:Bitnomial is building the next generation US-based global derivatives exchange, starting with digital assets and progressively expanding to encompass a full spectrum of commodities worldwide. Bitnomial operates a US CFTC regulated exchange (DCM),clearinghouse (DCO), and brokerage (FCM). Bitnomial offers the Bitcoin Complex comprising...
-
Senior Compliance Officer
1 day ago
chicago, United States Bitnomial Full timeAbout Bitnomial:Bitnomial is building the next generation US-based global derivatives exchange, starting with digital assets and progressively expanding to encompass a full spectrum of commodities worldwide. Bitnomial operates a US CFTC regulated exchange (DCM),clearinghouse (DCO), and brokerage (FCM). Bitnomial offers the Bitcoin Complex comprising...
-
Compliance Senior Officer
8 hours ago
Chicago, Illinois, United States Western Union Full timeSenior Officer, Compliance – Remote Opportunity Are you prepared to leverage your compliance expertise within one of the leading FinTech companies globally? Are you eager to be part of an international organization dedicated to enhancing financial transactions for the better? If you are interested in a diverse workplace that values unique contributions...
-
Compliance Senior Officer
15 hours ago
Chicago, Illinois, United States Western Union Full timeSenior Officer, Compliance – Remote Opportunity Are you prepared to leverage your compliance expertise within one of the largest financial technology firms globally? Do you aspire to be part of a worldwide organization dedicated to enhancing financial transactions? Are you keen on becoming a member of a diverse global team that values and celebrates...
-
Compliance Senior Officer
5 days ago
Chicago, Illinois, United States Western Union Full timeSenior Officer, Compliance – Remote Opportunity Are you prepared to leverage your compliance expertise within one of the leading FinTech companies globally? Do you aspire to be part of a worldwide organization dedicated to enhancing financial transactions? Are you keen on contributing to a diverse workforce that values individual contributions and...
-
Senior Compliance Officer
1 week ago
Chicago, United States Larson Maddox Full timeA reputable and growing trading firm in Chicago is looking to bring on a Senior Compliance Officer to its expanding compliance team. The ideal candidate will be someone who has worked extensively throughout the proprietary trading sector with securities and options and can jump into a variety of activities across the team to support the compliance program....
-
Senior Compliance Officer
1 day ago
chicago, United States Larson Maddox Full timeA reputable and growing trading firm in Chicago is looking to bring on a Senior Compliance Officer to its expanding compliance team. The ideal candidate will be someone who has worked extensively throughout the proprietary trading sector with securities and options and can jump into a variety of activities across the team to support the compliance program....
-
Compliance Officer
3 weeks ago
Chicago, United States LaSalle Network Full timeLasalle Network is partnered with a cutting-edge fin-tech company that specializes in consumer lending and they are seeking a Compliance Officer to enhance their compliance function. In this role, you will report directly to the Compliance Manager and play a critical part in ensuring their organization adheres to all relevant Federal, State and Agency...
-
Chief Compliance Officer
3 days ago
Chicago, United States Atticus Recruiting Inc Full timeEXCLUSIVE — Our client, a leading, public, technology manufacturing company with 7,000 employees and sales, engineering and manufacturing locations in North America, Europe, Middle East, and Asia, seeks a Chief Compliance Officer in its Chicago headquarters. Reporting directly to the General Counsel, the Chief Compliance Officer will develop, implement,...
-
Compliance Officer
1 month ago
Chicago, United States Intelliswift Software Full timeJob 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...
-
Compliance Officer
1 month ago
Chicago, United States Intelliswift Software Full timeJob 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...
-
Compliance Officer
1 month ago
Chicago, United States Chicago Legal Search, Ltd. Full timeJob DescriptionJob DescriptionFinancial services company has an immediate need for a compliance officer to join its team. Bachelor’s degree required, preferably in Finance or other business-related concentration, minimum 5 years of financial services industry experience including advertising review experience concerning mutual funds, ETFs, and multi-asset...
-
Compliance Officer
2 days ago
Chicago, United States destinationone Consulting Full timeJob DescriptionJob Descriptiondestinationone Consulting specializes in recruitment across various sectors, including Healthcare, Health Tech, Government, Municipalities, Non-Profits, Legal, and more. We are proactively building a data bank for opportunities in these fields. By applying, you ensure our recruiters can quickly match you with suitable roles when...
-
Compliance Officer
3 months ago
Chicago, United States SNI Financial Full timeCOMPLIANCE OFFICER - ONSITE - CHICAGO - PRIOR SUPERVISORY EXP -SALARY $65-$85k Assist with overseeing the consumer compliance functions (laws and regulations) as they apply to the Bank. Assist in ensuring the Bank complies with regulatory requirements and applicable policies, procedures, and practices. Collaborate in the identification, measurement and...
-
Compliance Officer
3 months ago
Chicago, United States SNI Financial Full timeCOMPLIANCE OFFICER - ONSITE - CHICAGO - PRIOR SUPERVISORY EXP -SALARY $65-$85k Assist with overseeing the consumer compliance functions (laws and regulations) as they apply to the Bank. Assist in ensuring the Bank complies with regulatory requirements and applicable policies, procedures, and practices. Collaborate in the identification, measurement and...
-
Senior Compliance Analyst
3 weeks ago
Chicago, Illinois, United States Ariel Investments Full timeAriel Investments is a premier, boutique, asset management firm. Our primary goal is to drive exceptional investment returns by bringing diverse perspectives together. The only way to beat a benchmark is to not look like one. As value investors, our thinking is deliberate and unconventional. We offer an independent, patient investing approach and aim to...
-
Senior Compliance and Ethics Advisor
6 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...
-
Senior Compliance Analyst
1 month ago
Chicago, United States Ariel Investments Full timeAriel Investments is a premier, boutique, asset management firm. Our primary goal is to drive exceptional investment returns by bringing diverse perspectives together. The only way to beat a benchmark is to not look like one. As value investors, our thinking is deliberate and unconventional. We offer an independent, patient investing approach and aim to...
![Larson Maddox](https://media.trabajo.org/img/noimg.jpg)
Senior Compliance Officer
1 month ago
Responsibilities:
- Assist in monitoring the activities of registered representatives and the firm.
- Track regulatory updates and recommend enhancements to business unit procedures and the company's compliance programs to the Chief Compliance Officer (CCO).
- Collaborate with all institutional and insurance business units to identify key risks and provide timely, thoughtful compliance guidance across various business lines.
- Evaluate the current trade surveillance program to identify improvement opportunities, enhancing efficiency and ensuring compliance with regulatory requirements and industry best practices.
- Apply Reg BI and Suitability standards in reviewing annuity applications.
- Review and approve marketing materials for both institutional and customer use.
- Research and provide guidance on training requirements based on new or changing industry regulations and related compliance policies.
- Participate in annual and regulatory audits.
- Consult on investment-related, FINRA, and SEC compliance issues as necessary.
- Assist with special projects, ad hoc assignments, and other compliance-related matters as directed by the CCO.
Education and Experience:
- 4+ years of relevant compliance experience in an investment or trading firm; investment advisor experience preferred
- Series 7, 24 licenses required
- Understanding of the 1933 & 1934 Act, Investment Advisors Act of 1940, and FINRA, SEC, MSRB and DOL regulations
- Experience working with My Compliance Office and Global Relay
- Bachelor's degree required
- Experience with institutional firms and trade desk and annuity compliance preferred
Benefits:
- Continued professional growth and hands-on learning opportunities
- Excellent company culture
- Voluntary benefits options including identity protection, pet insurance, accident insurance and more
- Free snacks options
- Flexible PTO policy
- Happy Hours in-office, baseball games, yoga classes and more company outings
- 401k program
- Paid parental leave
- On-site gym membership - compensated by the firm