Sign up to access all features of our service.
  • Job search
  • Favorites
  • Create a CV
    New
  • Salaries
  • Subscriptions

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

Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Senior Compliance Officer - Fintech Brokerage in Chicago, IL vacancy
  • $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... 
    Senior
    Work at office

    Deloitte

    Chicago, IL
    21 hours ago
  • 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... 
    Senior
    Work at office

    Greenberg Traurig, LLP

    Chicago, IL
    21 hours ago
  • $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... 
    Senior
    Full time
    Temporary work
    Work at office
    Flexible hours

    Greenberg Traurig LLP

    Chicago, IL
    21 hours ago
  • $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... 
    Senior
    Full time
    Work at office

    American International Group (AIG)

    Chicago, IL
    2 days ago
  •  ...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... 
    Senior
    Permanent employment
    Contract work
    Work experience placement
    H1b
    Work at office

    Cabrera Capital Markets

    Chicago, IL
    14 hours ago
  • 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

    Phaxis

    Chicago, IL
    2 days ago
  • Dormont Manufacturing Co is seeking a Compliance Manager to oversee the Firm’s Code of Ethics Program. The ideal candidate will have 5+ years of financial services experience, particularly in compliance, audit, or related roles. This role demands a strong understanding... 
    Senior

    Dormont Manufacturing Co

    Chicago, IL
    3 days ago
  • A leading wealth management firm in Chicago seeks a Senior Compliance Officer to enhance compliance frameworks and governance. The role involves overseeing compliance documents, training staff on regulatory changes, and managing compliance programs. Ideal candidates will... 
    Senior

    Corient

    Chicago, IL
    21 hours ago
  • Mesirow, a Chicago-based independent financial services firm, seeks a Compliance Officer to support all aspects of the Compliance Department. The role involves Code of Ethics oversight, AML/KYC reviews, and training, reporting to the Chief Compliance Officer. The position... 
    Senior
    Work at office
    3 days per week

    Mesirow

    Chicago, IL
    1 day ago
  • 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

    Jobtailor

    Chicago, IL
    4 days ago
  • 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... 
    Senior
    Permanent employment
    Temporary work
    Work at office
    Flexible hours

    Corient

    Chicago, IL
    21 hours ago
  • M1 Finance in Chicago is looking for a talented individual to lead its brokerage operations team. The role involves supervising daily operations, enhancing workflows, and developing team capabilities. Candidates should have substantial brokerage operations experience and... 
    Senior

    M1 Finance

    Chicago, IL
    21 hours ago
  • 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

    Redwood Logistics LLC

    Chicago, IL
    2 days ago
  • $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... 
    Senior
    Full time
    Work at office
    Shift work
    Day shift

    Bank of America

    Chicago, IL
    21 hours ago
  • $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... 
    Senior
    Part time
    Local area

    Bank of Montreal

    Chicago, IL
    1 day ago
  • Redwood Logistics is seeking a Senior Product Manager for the Brokerage Platform to own the platform capability roadmap and partner with Brokerage Operations, Pricing, Engineering, Architecture, and Data Science to translate business priorities into scalable technology... 
    Senior

    Redwood Logistics, LLC

    Chicago, IL
    2 days ago
  • $107k - $160k

     ...for leading and overseeing the compliance efforts of third-party...  ...Banking-as-a-Service (BaaS, or Fintech relationships), throughout the...  ...the programs. The Compliance Officer-Fintech Services will report...  ...party relationships. Advises senior management on potential risks... 
    Contract work
    Temporary work
    Work at office
    Local area

    Midland States Bank

    Chicago, IL
    2 days ago
  •  ...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

    WR Logistics

    Chicago, IL
    2 days ago
  •  ...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... 
    Senior
    Full time
    Local area

    The Travelers Indemnity Company

    Chicago, IL
    1 day ago
  • $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

    The Symicor Group

    Chicago, IL
    21 hours ago
  • $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... 
    Senior
    Full time
    Work experience placement
    Work at office

    CNA Financial

    Chicago, IL
    4 days ago
  •  ...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... 
    Senior
    Full time
    Flexible hours

    AmTrust

    Chicago, IL
    1 day ago
  • $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... 
    Senior
    Work experience placement
    Work at office

    Old National Bank

    Chicago, IL
    1 day ago
  • $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... 
    Senior
    Work at office
    Flexible hours
    Shift work
    3 days per week

    Robinhood Financial

    Chicago, IL
    4 days ago
  • # 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

    Scrolllaunch

    Chicago, IL
    3 days ago
  •  ..., 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... 
    Senior
    Full time
    Work at office
    3 days per week

    tastyworks

    Chicago, IL
    4 days ago
  • $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... 
    Senior
    Full time
    Work experience placement
    H1b
    Local area
    Worldwide
    Flexible hours

    Northern Trust

    Chicago, IL
    2 days ago
  •  ...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... 
    Senior
    Full time
    Work at office
    3 days per week

    tastylive

    Chicago, IL
    1 day ago
  • $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... 
    Senior
    Work at office
    Shift work
    Day shift

    Bank of America

    Chicago, IL
    3 days ago
  •  ...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... 
    Senior
    Work experience placement
    Remote work

    First Business Bank

    Chicago, IL
    1 day ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to Senior Compliance Officer - Fintech Brokerage. Be the first to apply!