Compliance Officer
1 month ago
The ideal candidate will have:
- Knowledge of Equities and/or fixed income compliance
- Testing & Monitoring
- Policies & Procedures
- Code of Ethics
- Trade/Portfolio Compliance
- Employee Surveillance
- Regulatory Inquiries/Audits
- A strong academic pedigree from a top university
A highly competitive compensation package is on offer.
For a discussion in confidence, please apply with your resume.
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Compliance Officer
1 week ago
Chicago, United States Simmons & Hanbury Full timeOur client are a market-leading proprietary trading firm. They are seeking a Compliance Officer to join their Chicago offices. Role Specifications: Work with the Senior US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework. Review the Compliance Monitoring Plan and...
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Compliance Officer
19 hours ago
Chicago, United States Simmons & Hanbury Full timeOur client are a market-leading proprietary trading firm. They are seeking a Compliance Officer to join their Chicago offices. Role Specifications: Work with the Senior US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework. Review the Compliance Monitoring Plan and...
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Compliance Officer
1 week ago
Chicago, United States Simmons & Hanbury Full timeOur client are a market-leading proprietary trading firm. They are seeking a Compliance Officer to join their Chicago offices.Role Specifications:Work with the Senior US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework.Review the Compliance Monitoring Plan and the...
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Compliance Officer
1 week ago
Chicago, United States Simmons & Hanbury Full timeOur client are a market-leading proprietary trading firm. They are seeking a Compliance Officer to join their Chicago offices.Role Specifications:Work with the Senior US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework.Review the Compliance Monitoring Plan and the...
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Compliance Officer
13 hours ago
Chicago, United States Simmons & Hanbury Full timeOur client are a market-leading proprietary trading firm. They are seeking a Compliance Officer to join their Chicago offices.Role Specifications:Work with the Senior US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework.Review the Compliance Monitoring Plan and the...
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Compliance Officer
33 minutes ago
Chicago, United States Simmons & Hanbury Full timeOur client are a market-leading proprietary trading firm. They are seeking a Compliance Officer to join their Chicago offices.Role Specifications:Work with the Senior US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework.Review the Compliance Monitoring Plan and the...
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Compliance Officer
1 month ago
Chicago, United States Gelber Group Full timeWe are Gelber Group - Passion for Trading. Powered by Technology. Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading ideas and careful attention to...
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Compliance Officer
1 week ago
Chicago, United States Gelber Group Full timeWe are Gelber Group -- Passion for Trading. Powered by Technology. Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading ideas and careful attention to...
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Compliance Officer
4 weeks ago
Chicago, United States Gelber Group Full timeWe are Gelber Group -- Passion for Trading. Powered by Technology. Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading ideas and careful attention to...
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Compliance Officer
5 hours ago
Chicago, United States Gelber Group Full timeWe are Gelber Group -- Passion for Trading. Powered by Technology. Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading ideas and careful attention to...
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Compliance Officer
1 month ago
Chicago, United States Gelber Group Full timeJob DescriptionJob DescriptionWe are Gelber Group -- Passion for Trading. Powered by Technology.Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading...
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Compliance Officer
1 month ago
Chicago, United States Gelber Group Full timeWe are Gelber GroupPassion for Trading. Powered by Technology. Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading ideas and careful attention to...
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Compliance Officer
3 weeks 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...
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Compliance Officer
2 weeks 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...
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Compliance Officer
2 weeks 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...
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Compliance Officer
2 weeks 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...
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Compliance Officer
1 day 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...
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Compliance Officer
27 minutes 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...
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Compliance Officer
2 weeks ago
Chicago, United States SNI Financial Full timeCOMPLIANCE OFFICER - ONSITE - CHICAGO - PRIOR SUPERVISORY EXP -SALARY $65-$85k In order to make an application, simply read through the following job description and make sure to attach relevant documents. Assist with overseeing the consumer compliance functions (laws and regulations) as they apply to the Bank. Assist in ensuring the Bank complies with...
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Compliance Officers
1 week ago
Chicago, IL, United States Alera Group Full timeis seeking a Regional Compliance Consultant to join our team! Alera Group was formed on January 1, 2017 and is one of the largest independent, national insurance and financial services firms in the U.As a Regional Compliance Consultant , you will have the primary responsibility of supporting our central region field office colleagues with employee...