Senior Compliance Officer - Fintech Brokerage
EdgeClear
A financial services firm in Chicago is seeking an experienced Compliance Officer to oversee and manage compliance across its brokerage and fintech operations. Responsibilities include ensuring adherence to regulatory frameworks, developing compliance policies, and conducting internal audits. Ideal candidates will have a Bachelor's degree and at least 2 years in legal or compliance roles, with strong knowledge of AML/KYC regulations. A competitive compensation package is offered, ensuring a desirable work environment. #J-18808-Ljbffr EdgeClear
$119k - $218.3k
Position Summary Senior Consultant - Risk, Regulatory, & Licensing... ...up-to-date perspectives on compliance obligations and industry best... ...teams for digital asset or fintech businesses.Hands-on... ...deadlinesAdvanced aptitude with Microsoft Office products, particularly...SeniorWork at office- Greenberg Traurig LLP seeks a senior Associate in its Financial Regulatory & Compliance Practice. The role can be based in our Miami, DC, New York, Chicago, Atlanta, Phoenix or Dallas office, with clients across industries nationwide. Candidates should have at least 6...SeniorWork at office
$260k - $365k
...time employment opportunity for a senior level Associate in the Financial Regulatory & Compliance Practice. They can be based in... ..., Atlanta, Phoenix or Dallas office. We offer competitive compensation... ...businesses, payment systems, FinTech firms). Experience with...SeniorFull timeTemporary workWork at officeFlexible hours$163k - $204k
...companies, through internal and external managers. The Investments Compliance team provides compliance and regulatory support to AIG’s... ...insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program.Review...SeniorFull timeWork at office- ...premier investment bank and institutional brokerage firm, serving global corporations,... .... Position Summary & Purpose The Senior Legal & Compliance Specialist is a hands-on role responsible... ...General Counsel, Chief Compliance Officer, and business teams across trading, investment...SeniorPermanent employmentContract workWork experience placementH1bWork at office
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- Broker 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. Responsibilities...Senior
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- Jobtailor in Chicago seeks an experienced compliance investigator to conduct investigations,... ...SARs. You will report findings to senior stakeholders, perform quality control, and... ...investigative operations within Retail Brokerage compliance, FINRA/SEC rules. This role requires...Senior
- Senior Compliance Officer, Compliance Management At Corient, we help high‑ and ultra‑high‑net‑worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for VLCp people, causes and communities they...SeniorPermanent employmentTemporary workWork at officeFlexible hours
$90k - $115k
...America is committed to an in-office culture with specific... ...facts of the investigation to senior stakeholders, assisting in identifying... ...potential operational or compliance risks and partners with Global... ...retail and/or institutional brokerage products and services and applicable...SeniorFull timeWork at officeShift workDay shift$81.4k - $151.8k
Application Deadline: Address: 320 S Canal Street Job Family Group: Audit, Risk & Compliance Assists in the implementation, maintenance and administration of a specific compliance program. Responsible for independently performing risk assessments, and developing, executing...SeniorPart timeLocal area- Redwood Logistics LLC is seeking a Senior Product Manager for the Brokerage Platform to own and evolve the platform capability roadmap. You will partner with Brokerage Operations, Pricing, Engineering, Architecture, and Data Science to translate business priorities into...Senior
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...Compliance Officer- Fintech Services At Midland States Bank, base salary is one component of our Total Rewards program. Exact compensation... ...compliance issues related to third-party relationships. Advises senior management on potential risks and mitigation strategies in...Contract workTemporary workWork at officeLocal area- ...Logistics is seeking an experienced Customs Brokerage Manager to lead our brokerage operations... ...role oversees customs entry processing, compliance, and team development while delivering... ...leadership, and proficiency in MS Office, with a focus on collaborative, #J-1880...Senior
- ...00.00Target Openings1What Is the Opportunity?Northfield Excess & Surplus (E&S) Brokerage offers a wide array of insurance products to wholesale brokers. The Senior Account Executive Officer (Senior AEO), Northfield E&S Brokerage will partner with agents and brokers to...SeniorFull timeLocal area
$150k
Fintech Compliance Officer - To $150K - Chicago, IL - Job # 3784-6264 The Position Our bank client is seeking to fill a Fintech Compliance Officer... ...issues related to third‑party relationships. Advises senior management on potential risks and mitigation strategies in...Local area$72k - $141k
...abilities of all employees are used to their fullest potential. The Compliance Senior Consultant is a strategic individual contributor role... ...and understands the insurance industryProficiency in Microsoft Office Suite, including Microsoft CoPilot, and compliance management...SeniorFull timeWork experience placementWork at office- ...bulletins, and regulatory frameworks impacting insurance and non-insurance products.· Conduct competitor filing analysis and assess compliance feasibility.· Monitor legislative and regulatory changes and translate into business guidance.Forms, Rates, and Product...SeniorFull timeFlexible hours
$90k - $121.3k
...community and client-focused company that is firmly rooted in its core values.ResponsibilitiesWe are currently seeking a Senior Compliance Advisory Services Officer who will serve as the primary Compliance Department point of contact for assigned lines of business and/or...SeniorWork experience placementWork at office$89k - $105k
...service conveniently at their fingertips, anytime and anywhere. The Compliance Specialist will help create and champion a culture of... ...our New York, Chicago, Westlake, TX, Denver, and Menlo Park, CA office(s), with in-person attendance expected at least 3 days per week...SeniorWork at officeFlexible hoursShift work3 days per week- # Senior Product Manager, MobileTopstepThis Senior Product Manager role oversees the mobile strategy for a fintech trading platform. You will lead the development of native iOS and Android... ...the core prop firm into a retail brokerage, the TopstepX trading platform, and...Senior
- ..., IL -Hybrid (3 days/week in office) About the Role Oversee month... ...tax requests/payments Ensure compliance with GAAP standards and internal... ...the backing of a FTSE 100 fintech operating across five continents... .... tastytrade is our retail brokerage for self-directed investing...SeniorFull timeWork at office3 days per week
$83.1k - $141.3k
...clients using leading technology and exceptional service. The HR Compliance team within Employee Relations is responsible for ensuring compliance with applicable employment laws and regulations. The Senior Consultant is responsible for independently leading and...SeniorFull timeWork experience placementH1bLocal areaWorldwideFlexible hours- ...IL - Hybrid (3 days/week in office) Come join the finance team behind... ...FP&A capability. As a Senior FP&A Analyst you will report... ...-ready narrative Exposure to brokerage, trading, or financial services... ...with the backing of a FTSE 100 fintech operating across five continents...SeniorFull timeWork at office3 days per week
$90k - $115k
...America is committed to an in-office culture with specific... ...facts of the investigation to senior stakeholders, assisting in identifying... ...potential operational or compliance risks and partners with Global... ...retail and/or institutional brokerage products and services and applicable...SeniorWork at officeShift workDay shift- ...Description Position at First Business Bank Join us today as the Senior Compliance Specialist! First Business Bank is a Top Workplaces USA company, learn morehere. At the heart of First Business Bank, we believe success comes down to putting people...SeniorWork experience placementRemote work
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