Current jobs related to Compliance Officer - Chicago - SNI Financial

  • Compliance Officer

    1 month ago

    Chicago, United States LaSalle Network Full time

    Lasalle 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...

  • Compliance Officer

    2 months ago

    Chicago, United States Chicago Legal Search, Ltd. Full time

    Job 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 weeks ago

    Chicago, United States destinationone Consulting Full time

    Job 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

    1 week ago

    Chicago, United States destinationone Consulting Full time

    destinationone Consulting specializes in recruitment across various sectors including Healthcare Health Tech Government Municipalities NonProfits 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 they arise.Location: Various locations...

  • Compliance Officer

    6 days ago

    Chicago, Illinois, United States Discovery Senior Living Full time

    About Discovery Senior LivingDiscovery Senior Living is a leading provider of senior living communities in the United States. With a portfolio of over 250 communities across nearly 40 states, we are committed to delivering exceptional service and quality care to our residents.Job SummaryWe are seeking an experienced Compliance Officer to join our legal team....

  • Compliance Officer

    1 month ago

    Chicago, United States Harrison Gray Search & Consulting Full time

    Job DescriptionJob DescriptionHarrison Gray Search has partnered with a unique investment management firm to find the next member of their Compliance team.The Legal and Compliance team is responsible for delivering comprehensive legal, regulatory, and compliance services and solutions to our organization and its subsidiaries. This role is part of the...

  • Chief Compliance Officer

    2 weeks ago

    Chicago, United States Atticus Recruiting Inc Full time

    EXCLUSIVE — 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,...

  • Chief Compliance Officer

    2 weeks ago

    Chicago, United States Oxford Financial Group, Ltd. Full time

    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...

  • Compliance Senior Officer

    2 weeks ago

    Chicago, Illinois, United States Western Union Full time

    Senior 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

    2 weeks ago

    Chicago, Illinois, United States Western Union Full time

    Senior 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

    3 weeks ago

    Chicago, Illinois, United States Western Union Full time

    Senior 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...

  • Regulatory Compliance Officer

    3 weeks ago

    Chicago, Illinois, United States Addison Group Full time

    Job OverviewPosition: Compliance Specialist Location: Fully Remote – Operating on EST or CST hours. Sector: Wealth Management Compensation: $30 - $35/hrAbout Addison Group:Addison Group is a distinguished entity in the wealth management industry, dedicated to delivering extensive investment and financial advisory services. We are in the process of...

  • AFS Compliance Officer

    2 months ago

    Chicago, Illinois, United States Archer Daniels Midland Company (ADM) Full time

    AFS Compliance Officer - Chicago, ILThis is an exempt level position.Position Summary:We are looking for a compliance officer that will support our wholly owned subsidiary, Archer Financial Services, Inc. ("AFS") a registered Introducing Broker (IB) with the National Futures Association. This position reports to the IB Director and will work closely with the...

  • Senior Compliance Officer

    2 weeks ago

    Chicago, Illinois, United States Western Union Full time

    Senior Officer, Compliance – Work from HomeAre you ready to leverage your compliance expertise for a leading FinTech organization? Do you want to work for a global business that is committed to moving money for the better? Are you interested in joining a globally diverse organization where our unique contributions are recognized and celebrated, allowing...

  • Senior Compliance Officer

    2 weeks ago

    Chicago, United States Bitnomial Full time

    About 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 weeks ago

    Chicago, United States Bitnomial Full time

    About 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 weeks ago

    chicago, United States Bitnomial Full time

    About 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 weeks ago

    chicago, United States Bitnomial Full time

    About 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...

  • Chief Compliance Officer

    2 weeks ago

    Chicago, United States Aspen Standard Wealth Full time

    Job Description: We’re seeking a Chief Compliance Officer to design, establish, and lead Aspen’s compliance function. This role involves both high-level strategic planning and hands-on execution, requiring a candidate who is comfortable rolling up their sleeves and handling tasks at all levels. The CCO will work closely with the executive team to ensure...

  • Chief Compliance Officer

    5 days ago

    Chicago, United States Larson Maddox Full time

    A rapidly growing Registered Investment Advisor is looking to bring on a new Chief Compliance Officer to their team. The ideal candidate will be someone who has 8+ years of experience working within a RIA, covering a variety of compliance matters and able to help build the framework at the firm. The role will be based in Chicago in a hybrid setting....

Compliance Officer

4 months ago

Chicago, United States SNI Financial Full time

COMPLIANCE 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 monitoring of compliance risks within the Bank. Assist with developing, implementing and administering, aspects of the Bank Secrecy, Anti-Money Laundering and Customer Identification Program, as needed.

Duties/Responsibilities:

Research federal and state banking laws and regulations, to stay updated with changes and to assist with answering questions that arise.

Assist with updating or creating various Programs, Policies, Procedures and Risk Assessments to develop controls to mitigate those risks for the various banking areas.

Create and help maintain Internal Compliance Reviews for significant processes, procedures, and applications within the operating areas of the bank.

Assist with creating and facilitating various Trainings for bank staff on various banking regulations, including Retail, Lending, BSA, and CRA & Fair Lending topics.

Assist with maintaining a Bank Secrecy, Anti-Money Laundering and Customer Identification Program, policies, and risk assessment as needed.

Alerts, Cases, and SARs, and review and testing of customer data and documentation.

Serve as a Core Member on the Compliance Committee, CRA FL Committee and Suspicious Activity Evaluation Committee.

Assist with scheduling compliance audits of the Bank and providing results to Executive Management and the Board of Directors.

Maintain a working knowledge of relevant legislation, regulations, codes of practice and departmental policies to ensure they are adhered to.

Adhere to all bank policies, procedures, and customer service standards as they apply to all aspects, duties, and responsibilities of this position.

Basic Qualifications:

Bachelors degree preferably in business, finance, or other related area.

Advanced knowledge of regulations within the banking industry.