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Junior Compliance Jobs

15 jobs

Casey Securities is looking for a driven individual in the role of Junior Compliance Officer. The Junior Compliance Officer will report directly to the Chief Compliance Officer as well as other members of senior management. They will be responsible with assisting in all regulatory matters. Attention to detail is vital when dealing with any regulatory body and this person should be highly organized...
Overview: Interactive Brokers Group LLC, a Global Securities and Commodities business leader and top-16 US Broker-Dealer (BD) / Futures Commission Merchant (FCM) has an immediate need for an Entry Level Junior Compliance Analyst in our Chicago office. In the absence of direct industry experience, we will also consider applicants with excellent Bachelor’s-level educational credentials who have so...
Overview: Interactive Brokers , a Global Securities and Commodities business leader and one of the largest financial services firms in the U.S. has an immediate need for a Compliance Associate in our Chicago office. This position has excellent growth potential for highly motivated and exceptional performers. The ideal candidate some regulatory compliance experience working for an exchange, a r...
Overview: Interactive Brokers (IB) is the largest U.S. broker, measured by trades, offering direct-access electronic trade execution and clearing for active traders, institutional investors, financial advisors and introducing brokers. IB serves more than 400 thousand customers in trading securities, commodities and foreign exchange in 23 currencies on over 100 market centers in 24 countries aroun...
Client Services, Inc. (CSI), a Better Business Bureau Accredited call center located in St. Charles, MO, is seeking a career-minded individual to join our team as a Compliance Assistant. Representing many of the largest and most sophisticated financial services organizations in the United States, CSI is seeking a personable and highly motivated individual to fill our part-time position. Junior Com...
Overview: The Interactive Brokers Group is seeking for its Greenwich, CT offices, an entry-level candidate that has a desire to begin a career in regulatory trade reporting and compliance analytical work. The successful candidate would learn to use Bloomberg as well as to report and research trade issues using systems such as: Fixed income systems: TRACE, RTTM and RTRS, Stock trade reporting fac...
Interactive Brokers , a Global Securities and Commodities business leader and one of the largest financial services firms in the U.S. has an immediate need for a Compliance Associate in our Chicago office. This position has excellent growth potential for highly motivated and exceptional performers. The ideal candidate some regulatory compliance experience working for an exchange, a regulatory o...
Interactive Brokers Group LLC, a Global Securities and Commodities business leader and top-16 US Broker-Dealer (BD) / Futures Commission Merchant (FCM) has an immediate need for an Entry Level Junior Compliance Analyst in our Chicago office. In the absence of direct industry experience, we will also consider applicants with excellent Bachelor’s-level educational credentials who have some backgrou...
Overview: Interactive Brokers , a Global Securities and Commodities business leader and one of the largest financial services firms in the U.S. has an immediate need for a Compliance Associate in our Chicago office. This position has excellent growth potential for highly motivated and exceptional performers. The ideal candidate some regulatory compliance experience working for an exchange, a r...
Leader in Training - Junior Environmental Compliance Engineer Want to work for a company you’ll love? Come join us! At Wakefern Food Corp., 26% of our population has been with us for at least 25 years! Why? Because we care about our people and understand that they are our greatest asset. We offer career development & growth opportunities and have been selected as one of NJBIZ magazine's 2011 an...
As a Compliance Manager with MMC Securities LLC, a FINRA broker-dealer, SEC registered investment adviser and NFA member, and a wholly owned subsidiary of Marsh & McLennan, you will be responsible for implementing the firm's policies, procedures and practices for compliance with all applicable laws and regulations. This position reports to the MMC Securities Chief Compliance Officer and the incumb...
Level I Responsible for ensuring that all areas of the Division are in compliance with local, state and federal regulations contractual agreements and Association mandates. Collaborates with Operational business areas to identify and improve processes that are not compliant and implement new regulations. Level II In addition to level I responsibilities, the second level will handle more comple...
Company Description Leading Products – Innovative Ideas – Exceptional People ….MicroStrategy, A Dynamic Place to Work! At MicroStrategy, we are passionate about creating powerful, disruptive technologies that transform how companies do business. Innovative products and ultimately our success are rooted in one driving force—our people. Our casual and flexible environment encourages creativity and...
This position will be an integral part of implementing the Motiva Trading Compliance Program for hydrocarbon risk management. This individual is responsible for helping develop internal and external compliance reporting, providing compliance advice and assistance, implementing annual education programs, ensuring regulatory filings are made timely and compliance process and transaction monitoring a...
If you’re entrepreneurial, business-minded and always craving the next challenge, we would love to have you join us on our mission to shape the future of law. Our attorneys benefit from a self-directed practice, flexibility, top tier peers and access to the world's largest and most innovative clients - all with a full suite of benefits including paid time off, healthcare and professional developm...