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Found 19 jobs
    • Chicago
    • Negotiable
    • Posted about 17 hours ago

    A leading diversified trading firm is looking for a Compliance Program Manager to join its team in Chicago. This established company in this space has been delivering solutions by bringing sophisticated technology and impressive people together. This organization offers a variety of asset classes...

    • United States of America
    • Negotiable
    • Posted about 23 hours ago

    A multinational banking and financial services institution is looking for a Data Analytics/Financial Crimes Vice President to add to their growing team. This is a great opportunity to someone with strong data management and analytical skills, who also has a background in financial crimes complian...

    • Chicago
    • Negotiable
    • Posted 1 day ago

    One of the nations oldest and largest futures brokerage firms is looking to bring on a Chief Compliance Officer - Broker Dealer. Located in Chicago, a successful candidate in this position will provide compliance oversight of all the activities within the firms Broker Dealer. You will be responsi...

    • Chicago
    • Negotiable
    • Posted 2 days ago

    A global, private, diversified trading firm is currently seeking a Compliance Manager - Audit to join their Chicago team. Your role will serve as a critical member of the organization, supporting its larger objectives such governing the firm's compliance program, strong collaboration with various...

    • Chicago
    • Negotiable
    • Posted 5 days ago

    One of the leading, specialty broker-dealer and investment firm is currently seeking a Compliance Officer to join the compliance team and is responsible for implementing compliance policies and strategies for the firm. Your role will serve as a critical member of the organization, supporting its ...

    • Chicago
    • Negotiable
    • Posted 8 days ago

    A top institutional-grade financial services network is currently looking for an AML/KYC associate to take on a hybrid role out of their Chicago office! This person will be mainly responsible for examining account documentation on file, as well as identifying documentary deficiencies and updating...

    • Chicago
    • Negotiable
    • Posted 9 days ago

    One of the top leading tech-driven international proprietary trading firms is seeking a Compliance Analyst who is willing and able to train others. Your role will serve as a critical member of the organization, supporting its larger objectives such as assisting with regulatory filings, working wi...

    • New York
    • Negotiable
    • Posted 12 days ago

    Qualifications & Requirements: Sound judgement and ability to analyze email content Ability to manage multiple tasks in a fast-paced environment Highly detail oriented and possess strong organizational skills Team player who is able to collaborate across departments Strong work ethic and ability ...

    • New York
    • Negotiable
    • Posted 12 days ago

    Essential Duties and Responsibilities: Review, research and appropriately respond to alerts identified on the Firm's suite of equity surveillance report platforms. Assess the current equity surveillance program and identify opportunities for improvement, increasing efficiency, and ensuring that t...

    • Chicago
    • Negotiable
    • Posted 12 days ago

    One of the leading, specialty broker-dealer and investment firm is currently seeking a Compliance Officer to join the compliance team and is responsible for implementing compliance policies and strategies for the firm. Your role will serve as a critical member of the organization, supporting its ...

    • Chicago
    • Negotiable
    • Posted 13 days ago

    One of the leading global asset management firms is seeking a KYC Analyst I to join their legal department. Your role will serve as a critical member of the organization, supporting the firms KYC process in their Chicago office. The KYC Analyst I will be responsible for: Examining trading counter...

    • Chicago
    • Negotiable
    • Posted 15 days ago

    Compliance Senior Advisory Analyst A leading Chicago based futures brokerage and clearing firm is hiring for the role of Compliance Senior Advisory Analyst. This privately owned company provides full services to its impressive network of clients through using the latest in technology paired with ...

    • New York
    • Negotiable
    • Posted 21 days ago

    Primary Accountabilities/Responsibilities: Identifies and interprets SEC, FINRA and self-regulatory organization rules and regulations to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance Monitor the Trade Reporting and Compliance Engine (TRACE) a...

    • Chicago
    • Negotiable
    • Posted 22 days ago

    A top institutional-grade financial services network is currently looking for an AML/KYC associate to take on a hybrid role out of their Chicago office! This person will be mainly responsible for examining account documentation on file, as well as identifying documentary deficiencies and updating...

    • City of London
    • Negotiable
    • Posted 24 days ago

    A leading tech-driven, global, proprietary trading firm is looking for a KYC Documentation Specialist to join their London legal team. Your role will serve as a critical member of the organization, supporting its larger objectives such governing the firm's counterparty Know Your Customer response...

    • United States of America
    • Negotiable
    • Posted 27 days ago

    A full-service investment bank, brokerage and advisory firm is looking to add on a Deputy Chief Compliance Officer to their growing compliance team. The Deputy CCO will be the right hand to the firm's current Chief Compliance Officer, working to establish standards and implement procedures to sus...

    • Atlanta
    • Negotiable
    • Posted 27 days ago

    This position provides support to the Compliance Manager and performs related activities. This position assists in the design, implementation, and oversight of the Compliance Program for the UPS Defined Benefit Pension Plans (the "Plans") and helps ensure the Plans follow industry and regulatory ...

    • San Francisco
    • Negotiable
    • Posted 27 days ago

    A highly established, global wealth management firm is currently seeking a Market Supervisory Officer to join their team in a hybrid (based out of San Francisco) position. Your primary responsibility will be steering initiatives pertaining to business risk, compliance, and sales supervision. A su...

    • Chicago
    • Negotiable
    • Posted 29 days ago

    One of the nations oldest and largest futures brokerage firms is looking to bring on a Chief Compliance Officer - Broker Dealer. Located in Chicago, a successful candidate in this position will provide compliance oversight of all the activities within the firms Broker Dealer. You will be responsi...

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