Compliance Analyst
2 weeks ago
The Compliance Analyst will support the Compliance team in monitoring transactions and communications within the company. This role involves assisting in the delivery of key compliance services and ensuring that monitoring functions are performed effectively and in compliance with regulations.
- Support the compliance monitoring process under the guidance of senior team members to track and review employee and client activities.
- Perform transaction monitoring using an automated surveillance system, including reviewing and investigating alerts, evaluating issues, and escalating concerns to management.
- Respond to requests from regulatory bodies, exchanges, and clients.
- Engage with clients, brokers, and internal teams to investigate and clarify concerns professionally.
- Prepare detailed reports outlining monitoring results, findings, and actions taken to mitigate risks.
- Stay up-to-date with the company's business and regulatory landscape.
- Foster positive relationships with all stakeholders.
- Assist with maintaining regulatory registrations and compliance records.
- Contribute to daily compliance tasks & Ad Hoc.
- Take ownership ensuring that they are completed professionally and within appropriate time frames.
- Maintain an understanding of processes and procedures related to the role.
- Minimum of 5 years of relevant experience in compliance, preferably in a brokerage environment.
- Excellent organisational skills & strong analytical abilities.
- Establish and maintain effective relationships with both internal teams and external stakeholders.
- The ability to manage issues independently and provide timely updates.
- Ability to manage multiple tasks simultaneously and meet deadlines.
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Compliance Analyst
4 weeks ago
Chicago, United States Selby Jennings Full timeThe Compliance Analyst will support the Compliance team in monitoring transactions and communications within the company. This role involves assisting in the delivery of key compliance services and ensuring that monitoring functions are performed effectively and in compliance with regulations. Key Responsibilities Support the compliance monitoring...
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GRC Compliance Analyst
7 days ago
Chicago, Illinois, United States TalentFish Full timeJob Title: GRC Compliance AnalystAre you looking for a career change in the field of compliance and risk management? TalentFish has an exciting opportunity for a Senior Analyst, Cybersecurity Governance Risk & Compliance. This direct hire role is based in Chicago, Atlanta, NY or DC (Remote) and offers a competitive salary range of $115,000-$145,000 per...
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Compliance Analyst
6 days ago
Chicago, United States Addison Group Full timeJob Title: Compliance AnalystLocation: Chicago, ILIndustry: InsurancePay: $30 to $45hr based on experienceAbout Our Client:Addison Group is hiring for our client, a global specialty and Property & Casualty insurer. This is a contract role for 3 to 6 months. There is potential to extend.Job Description:The Compliance Analyst will manage the insurance forms,...
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Compliance Analyst
5 days ago
Chicago, United States Addison Group Full timeJob Title: Compliance AnalystLocation: Chicago, ILIndustry: InsurancePay: $30 to $45hr based on experienceAbout Our Client:Addison Group is hiring for our client, a global specialty and Property & Casualty insurer. This is a contract role for 3 to 6 months. There is potential to extend.Job Description:The Compliance Analyst will manage the insurance forms,...
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Compliance Analyst
3 months ago
Chicago, United States Phillip Capital Inc. Full timePhillip Capital Inc. Employment Opportunity in Chicago or New York Compliance Analyst Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). We offer the opportunity to grow your skills and make meaningful, visible contributions to both your team and the...
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Compliance Analyst
2 weeks ago
Chicago, United States Phillip Capital Inc. Full timePhillip Capital Inc. Employment Opportunity in Chicago or New York Compliance Analyst Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). We offer the opportunity to grow your skills and make meaningful, visible contributions to both your team and the...
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Sr IT Risk
1 month ago
Chicago, United States Javen Technologies Full timeJob Title: Sr. IT Risk & Compliance Analyst Location: Chicago, ILDuration: 12+ Months ContractOnsite/Hybrid RoleRequired: Risk & Compliance ANalyst, Certifications, CISA, Risk, Compliance, Control testing
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Security Analyst
1 week ago
Chicago, United States Illinois Institute of Technology Full timePosition Details Position Information Position Title Security Analyst (Compliance) Requisition # S01400P FLSA Exempt Location IIT-Mies Campus (MC), 10 West 35th St., Chicago Department Technology Services GENERAL DESCRIPTION We are seeking a highly motivated and skilled Security Analyst to join the Cyber-Tech Security (CTS) department of the Office of...
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Compliance Testing Analyst
1 week ago
Chicago, United States Old National Bank Full timeCompliance Testing AnalystJob Locations US-IN-Evansville | US-IL-Chicago | US-IN-Indianapolis | US-MN-St Paul Park | US-WI-Milwaukee | US-TN-Nashville | US-MI-Grand Rapids | US-KY-Louisville | US-MN-St Louis ParkCategory/Function Risk/SecurityPosition Type Regular Full-TimeRequisition ID 2024-15083Workplace Type On SiteSalary Min USD...
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Risk and Compliance Analyst
3 weeks ago
Chicago, Illinois, United States Interactive Brokers Full timeJob Title: Risk and Compliance Analyst">Job Summary: We are seeking a skilled risk and compliance professional to join our Regulatory Correspondence Unit as a Risk and Compliance Analyst. In this role, you will be responsible for monitoring regulatory response timelines, facilitating timely regulatory productions, and communicating with regulators and IBKR...
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Regulatory Compliance Risk Analyst
2 days ago
Chicago, Illinois, United States Old National Bank Full timeJob OverviewOld National Bank is seeking a highly motivated and detail-oriented Regulatory Compliance Risk Analyst to join our Corporate Compliance Team. This individual will be responsible for performing testing activities to ensure compliance with regulatory requirements, working closely with the Compliance Testing Manager and other subject matter...
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Compliance Testing Analyst
3 days ago
Chicago, United States Old National Bank Full timeCompliance Testing AnalystJob Locations US-IN-Evansville | US-IL-Chicago | US-IN-Indianapolis | US-MN-St Paul Park | US-WI-Milwaukee | US-TN-Nashville | US-MI-Grand Rapids | US-KY-Louisville | US-MN-St Louis ParkCategory/Function Risk/SecurityPosition Type Regular Full-TimeRequisition ID 2024-15083Workplace Type On SiteSalary Min USD...
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Data Compliance Analyst Lead
3 weeks ago
Chicago, Illinois, United States Argo Group Full timeArgo Group is seeking a highly skilled Senior Compliance Data Analyst to join our team in Chicago. As a key member of our team, you'll play a vital role in ensuring that our data meets the highest standards of accuracy and completeness.As a Senior Compliance Data Analyst, you'll work closely with Regulatory, Underwriting, and Claims teams to resolve data...
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Regulatory Compliance Analyst
7 days ago
Chicago, Illinois, United States Fay Financial Full timeWe are seeking a Regulatory Compliance Analyst to join our team at Fay Financial. In this role, you will be responsible for ensuring compliance with regulatory requirements and company policies.About the RoleThis role provides an exciting opportunity to work with a dynamic team that is committed to delivering innovative servicing solutions for both...
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Compliance Testing Analyst
2 days ago
Chicago, Illinois, United States Old National Bank Full timeAbout the Role">This is an exciting opportunity to join Old National Bank as a Compliance Testing Analyst, where you will play a critical role in ensuring the bank's compliance with regulatory requirements.As a Compliance Testing Analyst, you will be responsible for performing testing activities for various regulatory compliance requirements applicable to...
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Commercial Compliance Analyst
6 days ago
North Chicago, United States Planet Pharma Full timeTop 3-5 skills, experience or education required for this position:1. BA/BS or equivalent work experience required in business, finance, or related field2. Highly analytical with outstanding written and verbal communication skills3. Must have substantial MS office skills including Outlook, PowerPoint, Excel (pivot table experience needed for excel),...
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Commercial Compliance Analyst
5 days ago
North Chicago, United States Planet Pharma Full timeTop 3-5 skills, experience or education required for this position:1. BA/BS or equivalent work experience required in business, finance, or related field2. Highly analytical with outstanding written and verbal communication skills3. Must have substantial MS office skills including Outlook, PowerPoint, Excel (pivot table experience needed for excel),...
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HMDA Compliance Analyst
2 weeks ago
Chicago, United States BritePros Medical Staffing Remote Work Freelance Full time $35HMDA Compliance Analyst – To $35/hr – Remote – (1099/Contract) - Job # 3452Who We AreThe Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & San Antonio, TX. Our nationally unique value proposition centers around providing the very best available banking and accounting talent. In fact, most of our recruiters are former...
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Compliance Analyst Expert
4 days ago
North Chicago, Illinois, United States Planet Pharma Full timeAbout the RoleWe are seeking a highly skilled Compliance Analyst to join our team at Planet Pharma. As a key member of our US Commercial Compliance department, you will play a critical role in supporting the execution of our compliance monitoring program and ensuring the accurate reporting of data for Healthcare Professionals (HCPs) and Healthcare...
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Healthcare Financial Analyst
3 weeks ago
Chicago, Illinois, United States Northwestern Memorial Healthcare Full timeResponsibilitiesThe Revenue Integrity Analyst will be responsible for performing daily maintenance and quarterly audits of the EAP, preparing necessary files for the EAP database, and identifying charge capture opportunities or compliance issues in revenue-producing departments.Key responsibilities include:Performing daily maintenance and quarterly audits of...