Compliance Advisory
Jacobson Garner
A leading global capital markets firm is seeking an experienced Compliance Advisory professional to support its Futures and FCM (Futures Commission Merchant) business. This is an excellent opportunity to partner directly with front office, operations and control functions, providing proactive regulatory advice across listed derivatives, cleared products and exchange-traded futures. The successful candidate will play a key role in ensuring the business operates within an evolving regulatory framework while supporting commercial growth across the US futures markets. Key Responsibilities Provide day-to-day compliance advisory support to the Futures and FCM business. Advise stakeholders on the application of CFTC, NFA and CME Group rules and regulatory requirements. Interpret and communicate regulatory developments affecting listed derivatives and cleared products. Partner with Trading, Sales, Operations, Legal, Risk and Financial Crime teams on new products and business initiatives. Review and approve policies, procedures and supervisory controls. Support regulatory examinations, internal audits and compliance monitoring activities. Provide guidance on exchange rules, position limits, recordkeeping and trade practice obligations. Assist with regulatory change implementation and strategic compliance projects. Deliver compliance training and promote a strong culture of conduct and regulatory awareness. Escalate regulatory issues and provide practical, risk-based solutions to senior management. Requirements Minimum 5 years' Compliance Advisory experience within an investment bank, broker-dealer or Futures Commission Merchant (FCM). Strong knowledge of the US regulatory framework including Commodity Exchange Act (CEA), CFTC Regulations, NFA Compliance Rules, and CME Rulebook. Demonstrable experience supporting listed derivatives, futures and cleared products. Excellent stakeholder management skills with the ability to influence senior business leaders. Commercial mindset with a pragmatic approach to regulatory risk. Strong analytical, written and verbal communication skills. Bachelor's degree required; legal or relevant professional qualifications are advantageous. #J-18808-Ljbffr Jacobson Garner
- Broker dealer located in Chicago looking to bring on board a “Executive Director - FCM Compliance Advisory” to join their team. This role is currently in a hybrid schedule (3 days in office / week).Responsibilities:Support the Head of FCM Compliance by providing Compliance...SuggestedWork at officeImmediate start3 days per week
$193.5k - $406.5k
TransUnion's Job Applicant Privacy NoticePersonal Information We CollectYour Privacy ChoicesTeam OverviewThe U.S. Compliance Advisory team provides practical, risk-based compliance advice to business stakeholders on regulatory obligations that apply to TransUnion’s U.S....SuggestedFull timeTemporary workWork experience placementWork at officeFlexible hours2 days per week- TransUnion is seeking a VP, Compliance to lead the U.S. Compliance Advisory function within the Risk and Compliance Department. You will set strategy, align resources, and guide senior business leaders through complex regulatory requirements affecting U.S. products, sales...Suggested
- ...Vice President, Head of U.S. Compliance Advisory About the Company Acclaimed provider of credit theft prevention solutions Industry Information Technology and Services Type Public Company Founded 1968 Employees 10,001+ Categories Information...SuggestedWork at officeLocal area
- Robinhood is seeking a Compliance Specialist to build and govern the regulatory framework for a new advisory business. You will coordinate with operations, customer service, and RAM teams, conducting tests, audits, and risk assessments to ensure robust supervision and compliant...Suggested
$220k - $250k
...Job Description Direct Counsel is seeking a Digital Risk Advisory & Cybersecurity Associate with 3–6 years of experience to join... ...clients on cybersecurity incidents, data privacy, regulatory compliance, and digital risk management. The ideal candidate will have...Direct Counsel
Chicago, IL26 days ago- A global financial services leader is seeking a Senior Consultant in their Actuarial Advisory Services team based in Chicago. The role involves leading engagement teams, developing and optimizing actuarial models, and enhancing client relationships. Ideal candidates should...
$193.5k - $406.5k
Team Overview The U.S. Compliance Advisory team provides practical, risk-based compliance advice to business stakeholders on regulatory obligations that apply to TransUnion's U.S. products, sales activity, customer questions and operations support. The team sits within...Full timeTemporary workWork experience placementWork at officeFlexible hours2 days per week- ...Riveron helps organizations implement leading governance, risk and compliance practices by combining deep expertise with pragmatic... ...tailored solutions to address key compliance risks. Our Risk Advisory services include SOX readiness, managed internal controls testing...Full timeContract workWork at officeShift work
- ...globally.This isn't a passive monitoring role. You'll work directly with Sales, merchants, card networks, and internal Risk and Compliance teams to catch issues early, fix them fast, and build processes that move Stripe ahead.We are looking for someone who is passionate...
$193.5k - $227.7k
...various industries, which may involve strategy & roadmap development, security controls reviews & remediation/hardening, risk advisory, compliance assessments, resiliency planning, application & cloud security, data protection, and/or identity management. Our senior...Local areaImmediate startFlexible hours2 days per week1 day per week$118k - $133k
...Operating Company. ~ Must have a thorough understanding of financial modeling and valuation analysis, data management, capital advisory services and the M&A process, deal structuring and negotiation. ~ Management of and participation in the financial and operational...Full timeWork experience placementInterim roleWorldwideMonday to FridayWeekend workJ.S. Held LLC
Chicago, IL17 days ago$112.2k - $209k
...Finance & AccountingUnder the direction of the Managing Director, U.S. Tax Planning and Advisory, the Senior Manager, U.S. Tax Advisory: Provides U.S. tax planning, advisory and compliance guidance for projects and initiatives within the BMO Financial Group (“BMOFG”)....Full timeContract workPart timeFor contractorsLocal area- Job SummaryWorking under the authority of a Principal, the Senior Manager, Risk Advisory Services is responsible for managing and delivering high value solutions to multiple clients in technology environments to analyze system security and access controls, backup recovery...Contract workWork at office
$137k - $238k
...partners closely with business leaders, product teams, operations, compliance, legal, technology, and second line risk functions to identify... ...business objectives.The OpportunityThe Director, TPS Risk Advisory plays a key leadership role within TPS Governance & Controls,...Full timeContract workPart timeLocal area$201.81k - $382.6k
OverviewBaker Tilly is a leading advisory, tax and assurance firm, providing clients with a genuine coast-to-coast and global advantage... ...deep industry knowledge of risk, governance, internal audit, compliance, IT, and cybersecurity best practices.As one of the fastest...Full timeWork experience placementLocal areaRemote workWorldwide$120k - $156k
...across finance, including financial close, digital reporting, risk advisory, treasury and more. Clearsulting stands by its culture,... ...integration engagements, helping clients leverage technology to manage compliance risks and regulatory needs. Build and maintain strong client...Remote workVisa sponsorshipFlexible hours$116.2k - $212.9k
...control environment, and manage tax risks by providing expert advisory services. You'll also assist companies with all aspects of their... ...recommending, and implementing improvements to tax reporting, compliance, and accounting processes, and driving better business...Summer holidayFlexible hoursErnst & Young
Chicago, IL4 days ago$225k
From the beginning, our goal was to establish an advisory firm that stands apart from the rest - one that is grounded in our Core Values and dedicated to creating a positive experience not just for our clients, but for our people too. We firmly believe in the strength...Work at officeLocal areaFlexible hours$120k - $156k
...of finance, including financial close, digital reporting, risk advisory, treasury and more. Clearsulting stands by its culture,... ...leverage their investment in technology to better respond to compliance risks and regulatory needs. Build and maintain strong relationships...Work experience placementWork at officeRemote workVisa sponsorshipFlexible hours- BMO Harris Bank is seeking a Director, TPS Risk Advisory within the Governance & Controls function to provide strategic risk oversight across payment, treasury, and banking products. The role leads a team delivering risk assessments, issue management, change initiatives...
- Jacobson Garner, a leading global capital markets firm, seeks an experienced Compliance Advisory professional to support its Futures and FCM business in Chicago. You will partner with front office, operations and control functions to provide proactive regulatory guidance...
- CBRE is seeking a dynamic attorney to support our Americas Advisory business as Counsel on the Advisory team of CBRE’s Legal Department... ...with Finance, People, Tax, Digital & Technology, Ethics & Compliance to identify and mitigate exposure, while supporting senior colleagues...
- Coalfire, headquartered in Chicago, IL, is seeking a Manager, Public Sector Advisory to lead advisory engagements, mentor a small team, and ensure high-quality delivery with strong client relationships. You will guide projects across FedRAMP, CMMC, DISA SRG, FISMA and...
$65k - $120k
Goldman Sachs Group, Inc. is searching for a Compliance Associate for its Private Wealth Management team in Chicago. The role involves monitoring compliance, assessing financial product suitability, and collaborating with various teams to ensure adherence to regulations...$288k
...Senior Vice President of Sales. The role is located in and supports deals primarily in North America. What You’ll Do Deal Strategy Advisory Engage early in the sales cycle as a strategic advisor to Account Executives (AEs), helping them assess deal structure, identify...Temporary workLocal area$169.1k - $198.8k
Are you ready to make an impact?West Monroe is currently seeking a Manager to join our CFO Advisory team within our Operations Excellence practice. This person will bring expertise supporting clients as they modernize their finance organization, including developing their...Local areaImmediate startFlexible hours- WTW in Chicago seeks a Director - Compliance Consultant to lead Health & Benefits compliance engagements for large employers, translating federal and state regulations into practical client solutions. You will partner with CSTs, GDCs and cross-functional teams to embed...
$162k - $270k
Job Family:Risk & Regulatory Compliance ConsultingTravel Required:Up to 50%Clearance Required:NoneWhat You Will Do Guidehouse is executing... .... We are seeking an Associate Director to lead technology advisory and delivery for Digital Asset initiatives at banks and fintechs...Full timeFlexible hours$95k - $125k
...Capital & Currency, Capital Markets & Investment Banking, and Advisory Services, we invest in what matters: our clients, our communities... ...multiple times and is one of Barron’s Top 100 RIA firms.As a Compliance Officer at Mesirow, the role will be responsible for...Full timeWork at office3 days per week
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