Current jobs related to Regulatory Compliance Specialist - Chicago, Illinois - Mitchell Martin Inc.

  • Regulatory Compliance Specialist

    2 days ago

    Chicago, Illinois, United States Interactive Brokers Full time

    At Interactive Brokers, we are seeking a highly motivated and detail-oriented Regulatory Compliance Specialist to join our team in Chicago, Illinois.This is a hybrid role that requires three days in the office and two days remote. As a Regulatory Compliance Specialist, you will play a critical role in ensuring the firm complies with the Bank Secrecy Act, USA...

  • Regulatory Compliance Specialist

    2 days ago

    Chicago, Illinois, United States Avant Full time

    Regulatory Compliance Role at AvantWe are seeking a highly motivated and detail-oriented individual to join our team as a Regulatory Compliance Specialist. As a key member of our compliance team, you will be responsible for conducting second-line regulatory compliance monitoring and testing, supporting regulatory risk assessments, and supporting regulatory...

  • Regulatory Compliance Specialist

    2 days ago

    Chicago, Illinois, United States BioSpace, Inc. Full time

    Job SummaryWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at BioSpace, Inc. The ideal candidate will have a strong background in clinical pharmacology and regulatory compliance, with excellent analytical and problem-solving skills.Key ResponsibilitiesPerform quality control reviews of regulatory, scientific, and clinical...

  • Regulatory Compliance Specialist

    1 week ago

    Chicago, Illinois, United States Tempus Full time

    Job SummaryTempus is seeking a highly skilled Regulatory Compliance Specialist to join our team. As a key member of our Document Control team, you will be responsible for ensuring compliance with CAP/CLIA, FDA regulations, ISO, and other regulatory standards.This is a hybrid role that requires strong analytical and problem-solving skills, as well as...

  • Regulatory Compliance Specialist

    3 weeks ago

    Chicago, Illinois, United States WEX Full time

    Regulatory Compliance AnalystWEX Inc., a leading provider of business-to-business payment solutions, is seeking a highly skilled Regulatory Compliance Analyst to join its team. As a key member of the Financial Services Compliance Advisory group, you will play a critical role in maintaining the company's leadership position in the industry.Key...

  • Regulatory Compliance Specialist

    2 days ago

    Chicago, Illinois, United States Apex Fintech Solutions Full time

    Role OverviewWe are seeking an experienced Regulatory Compliance Officer to oversee our organization's regulatory compliance functions, including exam management, regulatory change management, and risk corrective action plans. The successful candidate will be responsible for ensuring that all company operations are conducted in compliance with ethical...

  • Compliance Specialist

    3 days ago

    Chicago, Illinois, United States Alliance for Clinical Trial in Oncology Foundation Full time

    Job Title: Compliance SpecialistThe Alliance for Clinical Trials in Oncology Foundation is seeking a highly skilled Compliance Specialist to join our team. As a key member of our organizational compliance program, you will play a critical role in ensuring the operational aspects of our clinical trials and translational research are conducted in compliance...

  • Regulatory Compliance Specialist

    3 weeks ago

    Chicago, Illinois, United States Daniels Health Full time

    Job Title: Compliance LawyerAt Daniels Health, we are seeking a highly skilled Compliance Lawyer to join our team. As a Compliance Lawyer, you will play a critical role in ensuring our company's compliance with federal, state, and local regulatory frameworks.Responsibilities:Work with our compliance team to develop and implement effective legal compliance...

  • Regulatory Compliance Specialist for Employee Relations

    1 month ago

    Chicago, Illinois, United States Help At Home Full time

    Job Title: Regulatory Compliance Specialist for Employee RelationsHelp At Home is a leading national provider of in-home personal care services, dedicated to enabling individuals to live with independence and dignity at home. Our team supports 66,000 clients monthly with the help of 49,000 compassionate caregivers across 12 states. We're committed to serving...

  • Regulatory Compliance Specialist for Employee Relations

    4 weeks ago

    Chicago, Illinois, United States Help At Home Full time

    Job OverviewHelp At Home is seeking a highly skilled Regulatory Compliance Specialist for Employee Relations to join our team. As a key member of our HR department, you will play a critical role in ensuring compliance with federal, state, and local employment laws, as well as Company Policy and the Code of Business Conduct and Ethics.Key...

  • Associate General Counsel Regulatory Expert

    2 weeks ago

    Chicago, Illinois, United States Financial Industry Regulatory Authority Full time

    Job SummaryWe are seeking a highly skilled and experienced Associate General Counsel, Regulatory to join our team at the Financial Industry Regulatory Authority (FINRA). This is a unique opportunity to work in a dynamic and fast-paced environment, where you will have the chance to make a significant impact on the regulatory landscape of the financial...

  • Regulatory Compliance Manager

    6 days ago

    Chicago, Illinois, United States RSM Full time

    We are seeking a highly skilled Regulatory Compliance Manager to join our Risk Advisory Services practice at RSM. As a key member of our team, you will lead and deliver regulatory compliance internal audits, assessments, and model validations for clients in the banking and financial services industries.Key Responsibilities:Develop strong relationships with...

  • Regulatory Compliance Manager

    4 weeks ago

    Chicago, Illinois, United States FORVIS Full time

    Job Title: Regulatory Advisory ManagerWe are seeking a highly skilled Regulatory Advisory Manager to join our team at Forvis. As a key member of our organization, you will be responsible for leading and managing audits, ensuring compliance with regulatory requirements, and providing expert advice on AML and Sanctions programs.Key Responsibilities:Lead and...

  • Regulatory Compliance Manager

    1 week ago

    Chicago, Illinois, United States FORVIS Full time

    Job SummaryWe are seeking a highly skilled Regulatory Advisory Manager to join our team at Forvis Mazars. As a key member of our audit and compliance team, you will be responsible for leading and managing audits of AML and Sanctions programs to ensure compliance with regulatory requirements and internal policies.Key ResponsibilitiesLead and manage audits of...

  • Regulatory Compliance Manager

    1 week ago

    Chicago, Illinois, United States RSM Full time

    Job Title: Manager, BSA/AML ComplianceWe are seeking a highly skilled and experienced Manager, BSA/AML Compliance to join our Risk Advisory Services practice. 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...

  • Regulatory Compliance Manager

    2 months ago

    Chicago, Illinois, United States FORVIS Full time

    About the Role:We are seeking a highly skilled and experienced Regulatory Compliance Manager to lead our AML and Sanctions programs. As a key member of our team, you will be responsible for ensuring the effectiveness and reliability of our AML and Sanctions programs, and for providing expert advice and insights on compliance and internal audit best...

  • Regulatory Labeling Specialist

    7 days ago

    Chicago, Illinois, United States Trinite Consulting Group Full time

    Job SummaryThe Regulatory Labeling Specialist/Manager is responsible for ensuring compliance with FDA requirements for product labels and packaging. This role involves working closely with cross-functional teams to support submission, review, and product launches while maintaining ongoing compliance throughout the product lifecycle.Key...

  • Compliance Officer

    3 weeks ago

    Chicago, Illinois, United States Marex Services Group, LLC Full time

    Job Title: Compliance Officer - Exam and Inquiry ManagementMarex Services Group, LLC is seeking a highly skilled Compliance Officer to join our team. As a key member of our compliance function, you will be responsible for ensuring that our business activities are conducted in accordance with regulatory requirements.Key Responsibilities:Track, compile, and...

  • Regulatory Affairs Specialist

    1 week ago

    Chicago, Illinois, United States No7 Beauty Company Full time

    About the RoleWe are seeking a highly skilled Regulatory Specialist to join our team at No7 Beauty Company. As a key member of our regulatory team, you will play a critical role in ensuring our cosmetic and OTC products are compliant with US and Canadian regulations and retailer requirements.Key ResponsibilitiesProvide regulatory and technical support to...

  • Regulatory Compliance Counsel

    1 week ago

    Chicago, Illinois, United States Nextdoor Full time

    About the RoleWe are seeking a highly skilled Regulatory Compliance Counsel to join our team at Nextdoor. As a key member of our Counsel team, you will play a critical role in analyzing laws that impact our platform and products, developing practical compliance plans, and working cross-functionally with teams to implement these plans.Key...

Regulatory Compliance Specialist

2 months ago

Chicago, Illinois, United States Mitchell Martin Inc. Full time

Job Title: Compliance Advisor (Investment Advisory & ERISA, RIA)

Location: Chicago, IL or Petersburg, FL

Position 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 solid background in the investment advisory sector, with a comprehensive grasp of ERISA regulations and the capability to address intricate compliance issues.

Primary Responsibilities:

  • Oversee and guarantee compliance with ERISA regulations and other relevant legal frameworks.
  • Perform routine assessments of investment advisory operations to pinpoint and alleviate compliance vulnerabilities.
  • Contribute to the formulation and execution of compliance policies and protocols.
  • Facilitate internal audits and regulatory inspections.
  • Remain informed about regulatory updates and offer insights to the advisory team.

Required Qualifications:

  • Proven experience in compliance within the investment advisory domain.
  • In-depth knowledge of ERISA and associated regulations.
  • Exceptional analytical and communication abilities.
  • Capacity to operate independently and collaboratively within cross-functional teams.
  • Compliance certification (e.g., CRCM, CCEP) is advantageous.