NewSenior Compliance Officer, Investments Compliance American International GroupSenior Compliance Officer, Investments ComplianceChicago, ILWorking knowledge of NY, DE and PA U.S. State insurance investment regulation, along with NAIC Model Laws - Investments of Insurers Model Act; background understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 is a plus. The base salary range for this position in New York, NY is $163,000-204,000, in New Jersey and Boston MA is $160,000-$200,000, and $159,000-$199,000 in Chicago, the position is eligible for a bonus in accordance with the terms of the applicable incentive plan.
Compliance Officer - Trade Surveillance Chicago Trading CompanyCompliance Officer - Trade SurveillanceChicago, IL$150,000–$200,000 / yearAs a Compliance Officer, you will report to the Chief Compliance Officer and handle various tasks supporting the firm's global compliance operations, focusing on securities and futures trade surveillances for all CTC trading affiliates globally. Candidates should have at least 8 years of experience in a compliance function that directly supports a professional trading business, or at least 3 years in a compliance function that supports a professional trading business and 5 additional years in non-compliance roles in financial services.
NewCompliance Officer TastyTrade IncCompliance OfficerChicago, IL$100,000–$140,000 / yearFounded in Chicago by the creators of thinkorswim, acquired by London-based IG Group in 2021, we combine startup innovation with the backing of a FTSE 100 fintech operating across five continents serving over 1.3m customers and handling billions of dollars in transactions - built on scale, trust, and proof. From our headquarters in Chicago''s Fulton Market, our team builds award-winning trading platforms, produces live financial education content daily, and creates technology that makes complex markets accessible.
SVP, Compliance Officer Mesirow Financial Holdings IncSVP, Compliance OfficerChicago, IL$95,000–$125,000 / yearAs a Compliance Officer at Mesirow, the role will be responsible for supporting all aspects of the Compliance Department including review and marketing materials, Code of Ethics monitoring, trade surveillance monitoring, testing, training, and developing compliance policies, procedures and internal controls. We are proud of our employee-owned culture, built on collaboration and shared success, empowering our professionals to develop meaningful relationships, pursue growth opportunities and make a lasting impact for our clients and communities.
NewCompliance Officer tastytrade, IncCompliance OfficerChicago, IL$100,000–$140,000 / yearFounded in Chicago by the creators of thinkorswim, acquired by London-based IG Group in 2021, we combine startup innovation with the backing of a FTSE 100 fintech operating across five continents serving over 1.3m customers and handling billions of dollars in transactions - built on scale, trust, and proof. From our headquarters in Chicago's Fulton Market, our team builds award-winning trading platforms, produces live financial education content daily, and creates technology that makes complex markets accessible.
Compliance Officer - Cchhs Cook County, ILCompliance Officer - CchhsChicago, ILThis includes but is not limited to the following policies and procedures: complying with Personal Protective Equipment requirements, hand washing and sanitizing practices, complying with department specific engineering and work practice controls and any other work area safety precautions as specified by hospital wide policy and departmental procedures. Consistently use independent judgment to identify operational staffing issues and needs and perform the following functions as necessary: hire, transfer, suspend, layoff, recall, promote, discharge, assign, direct or discipline employees pursuant to applicable Collective Bargaining Agreements.
Procurement Compliance Officer Fermi Research Alliance, LLCProcurement Compliance OfficerBatavia, IL$124,800–$164,200 / yearFermilab employees, and certain guest researchers and contractors, are subject to particular restrictions related to participation in Foreign Government Sponsored or Affiliated Activities, as defined and detailed in United States Department of Energy Order 486.1A. Professional certification, such as Certified Professional in Supply Management (CPSM), Certified Procurement Manager (CPM), Certified Federal Contracts Manager (CFCM), Certified Professional Contracts Manager (CPCM), certificates regarding federal government contracting.
COMPLIANCE OFFICER - CCHHS Cook County GovernmentCOMPLIANCE OFFICER - CCHHSChicago, ILConsistently use independent judgment to identify operational staffing issues and needs and perform the following functions as necessary: hire, transfer, suspend, layoff, recall, promote, discharge, assign, direct or discipline employees pursuant to applicable Collective Bargaining Agreements. This includes but is not limited to the following policies and procedures: complying with Personal Protective Equipment requirements, hand washing and sanitizing practices, complying with department specific engineering and work practice controls and any other work area safety precautions as specified by hospital wide policy and departmental procedures.
Compliance Officer Golub CapitalCompliance OfficerChicago, IllinoisDue to the highly regulated nature of Golub Capital’s business and because of the sensitivity of the information that all personnel have access to, Golub Capital performs extensive and thorough pre-hire screens to ensure that its personnel act with expected levels of integrity, professionalism and personal responsibility. Negotiation: Applies advanced negotiating techniques and a consultative approach with customers and internal stakeholders to compliantly create measurable short- and long-term values that leads to mutually beneficial outcomes.
NewCompliance Officer tastyliveCompliance OfficerChicago, IL$100,000–$140,000 / yearFounded in Chicago by the creators of thinkorswim, acquired by London-based IG Group in 2021, we combine startup innovation with the backing of a FTSE 100 fintech operating across five continents serving over 1.3m customers and handling billions of dollars in transactions – built on scale, trust, and proof. From our headquarters in Chicago's Fulton Market, our team builds award-winning trading platforms, produces live financial education content daily, and creates technology that makes complex markets accessible.
NewCompliance Officer US BankCompliance OfficerChicago, IL$98,175–$115,500 / yearOther responsibilities include assisting with the preparation of Trust Board reports and supporting documentation, issuing, documenting, and summarizing various certifications, assisting with quarterly calls with Advisers, participating in onboarding and offboarding of Funds/Advisers, monitoring for compliance gaps in conjunction with CCOs and other tasks or projects as assigned. This position within RSS will serve as support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series trusts containing mutual funds and exchange traded funds employing diverse investment strategies regulated under the Investment Company Act of 1940 and the Securities and Exchange Commission (SEC).
Junior Compliance Officer/Auditor SGI Global, LLCJunior Compliance Officer/AuditorChicago, ILFull timeAssist Auditors and Criminal Investigators with evaluation of Employment Eligibility Verification Form I-9.Assist with drafting audit reports and associated administrative fine paperwork to support the issuance of Notices of Intent to Fine, Final Orders, Warning Notices and other related documentation for HSI audits related to the employment eligibility verification process. Education is preferred to be in Business, Accounting, Finance, Information Systems or a similar field.1-3 years experience preferred Junior Compliance Officer TasksAt a minimum, the Junior Compliance Officer shall perform the following tasks:Responsible for inputting and evaluating data.
Compliance Officer Golub Capital BDC IncCompliance OfficerChicago, IL$165,000–$220,000 / yearDue to the highly regulated nature of Golub Capital's business and because of the sensitivity of the information that all personnel have access to, Golub Capital performs extensive and thorough pre-hire screens to ensure that its personnel act with expected levels of integrity, professionalism and personal responsibility. Negotiation: Applies advanced negotiating techniques and a consultative approach with customers and internal stakeholders to compliantly create measurable short- and long-term values that leads to mutually beneficial outcomes.
NewCompliance Officer tastytradeCompliance OfficerChicago, IllinoisFounded in Chicago by the creators of thinkorswim, acquired by London-based IG Group in 2021, we combine startup innovation with the backing of a FTSE 100 fintech operating across five continents serving over 1.3m customers and handling billions of dollars in transactions – built on scale, trust, and proof. From our headquarters in Chicago's Fulton Market, our team builds award-winning trading platforms, produces live financial education content daily, and creates technology that makes complex markets accessible.
NewDeputy Chief Compliance and Regulatory Officer Paul Murphy AssociatesDeputy Chief Compliance and Regulatory OfficerChicago, ILAs the company continues to launch new products and scale out Exchange offerings, they are looking for a Senior Director, Deputy Chief Compliance and Regulatory Officer to join the team and assist the CCRO in leading a world-class regulatory and compliance function. ·Assist the CCRO in the development, implementation and monitoring of the firm’s compliance program, including all aspects of regulatory compliance for the Exchange, ensuring ongoing adherence to CFTC Core Principles and the Commodity Exchange Act.
Compliance Officer – Job # 3752 Symicor GroupCompliance Officer – Job # 3752Des Plaines, Illinois$120,000Whether you are a candidate seeking a new opportunity or a bank or company president trying to fill an essential position, The Symicor Group stands ready to deliver premium results for you. This role involves developing, implementing, and maintaining compliance programs, conducting risk assessments, and providing guidance to the business units .
Fintech Compliance Officer – Job # 3784-6264 Symicor GroupFintech Compliance Officer – Job # 3784-6264Chicago, Illinois$150,000Identifies and analyzes risks associated with new and existing Fintech Leads, third-parties, third-party products, product channels and significant changes in existing products are properly evaluated and adequately communicated. Provides compliance expertise and guidance on bank wide projects to include Fintech oversight and BaaS as well as new product and system offerings.
Senior Compliance Officer Phaxis LLCSenior Compliance OfficerChicago, ILBroker dealer client is seeking a Senior Compliance Officer to provide real-time compliance advisory support to our Futures Commission Merchant (FCM) business, along with affiliated Introducing Brokers (IBs), Guaranteed Introducing Brokers (GIBs), and Swap Dealers. Lead preparation and submission of regulatory filings; manage regulatory relationships and inquiries for the US FCM business line.
Compliance Officer, Surveillance (Vn2997) Marex Group, Plc.Compliance Officer, Surveillance (Vn2997)Chicago, IL$75,000–$115,000 / yearThe group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets.
NewCode Compliance Officer/Combination Inspector Aurora Planning And Zoning DivisionCode Compliance Officer/Combination InspectorAurora, ILUnder general supervision of the Director of Building and Permits, this position functions as a combination/multi-discipline inspector performing a variety of inspections requiring advanced knowledge and skill for the enforcement of all applicable codes and ordinances in a variety of areas in a minimum of three trades to include, but not limited to: building, electrical, fire, mechanical, and plumbing. This position also requires possession of a minimum of three (3) International Council Code Specialist Designations from the trade categories that follow, plus Residential Combination Inspector and Residential Energy Inspector/Plans Examiner.