Deputy 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.
NewSecurity Officer - Compliance Review Allied UniversalSecurity Officer - Compliance ReviewJoliet, ILJoin Allied Universal at a dynamic logistics and distribution location, where you will monitor assigned areas, conduct routine patrols, and maintain a visible presence to help deter security-related incidents. Conduct regular and random patrols of distribution facilities, loading areas, parking areas, offices, and perimeter locations to help deter unauthorized activity.
Chief Operating Officer The Exeter GroupChief Operating OfficerChicago, ILReporting directly to the Chief Executive Officer (CEO), the Chief Operating Officer (COO) provides executive leadership and operational oversight for a broad portfolio of ancillary and support services. Collaborates with the President & CEO, Medical Staff, Governing Board, and executive leadership team to ensure the delivery of safe, high-quality, patient-centered care while achieving organizational, financial, and strategic objectives.
NewSecurity Officer - Credential Issuance Allied UniversalSecurity Officer - Credential IssuanceChannahon, ILAs an Access Control Officer at a chemical/petrochemical location, you will help manage badge access, monitor alarm panels, and support a welcoming, professional entry experience. Conduct regular and random patrols of assigned access points, business areas, and perimeter locations to identify and report unusual conditions or unauthorized activity.
NewVice President & Deputy General Counsel, Compliance & Ethics (Chief Ethics & Compliance Officer) ExelonVice President & Deputy General Counsel, Compliance & Ethics (Chief Ethics & Compliance Officer)CHICAGO, ILInternal: Executive Vice President, Chief Legal Officer, Compliance, and Corporate Secretary; CEO and Executive Committee; Board of Directors (Audit and Risk Committee); GREA; NERC Registered Officers; Internal Audit; Human Resources; Security; Enterprise Risk Management; OpCo Senior Leadership Teams. This leader serves as Exelon’s Chief Compliance and Ethics Officer and NERC Chief Compliance Officer enhances the design and execution of strategic and tactical programs to reduce and manage the risk of violating laws and regulations applicable to Exelon, and ensures that the Board of Directors, management, and employees understand and adhere to Exelon’s Code of Business Conduct.
Senior 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.
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 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).
Compliance Officer tastyliveCompliance OfficerChicago, IL$100,000–$140,000 / yearFull timeFounded 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 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.
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.
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.