Futures Surveillance Compliance Specialist
SGS Société Générale de Surveillance SA
SGS Société Générale de Surveillance SA in Chicago is seeking a skilled individual for a role in Compliance within its Wholesale Banking division. The position calls for candidates with 2-5 years of experience, particularly in Trade Surveillance, along with a strong understanding of applicable banking regulations. The ideal candidate will demonstrate a keen attention to detail, initiative, and excellent communication skills. This position offers competitive compensation including benefits such as a 401(k) plan and wellness programs. #J-18808-Ljbffr SGS Société Générale de Surveillance SA
- ...0GFR Responsibilities The SG Americas Compliance department acts as Second Line of Defense... ..., it conducts trade and communications surveillance, and manages transversal support... ...either Trade Surveillance (in particular Futures and/or Fixed Income), General Compliance...SurveillanceWork at officeLocal area
$89k - $105k
Join us in building the future of finance.Our mission is to democratize finance for... ...fingertips, anytime and anywhere. The Compliance Specialist will help create and champion a culture... ...practices and procedures, creating surveillance tools, responding to regulatory requests...SurveillanceWork at officeFlexible hoursShift work3 days per week- Société Générale Americas Compliance department supports the corporate, investment banking and broker-dealer activities, providing guidance on laws and regulations and developing related policies, procedures, training and controls. The team oversees Know Your Customer,...Surveillance
- ...and execution of AML policies, risk assessments, and investigations across equities, options, futures, crypto and event contracts. Oversee AML monitoring, trade surveillance, KYT, SARs and 314(a)/(b) reporting, regulatory examinations, CDD/EDD efforts, and cross-functional...SurveillanceH1b
$120k - $180k
...Department: Compliance Reports To: Chief Compliance Officer,... ...limited to, equities, options, futures, crypto and event contracts.... ...cashiering activity surveillance, trade surveillance programs... ...Certified Anti-Money Laundering Specialist) are highly desirable. Extensive...SurveillanceFull timeWork at office$92.5k - $115.5k
...enabling them to preserve their wealth for future generations, and provide for the people... ...Escalate exceptions to business and Compliance management along with supporting... ...or related to issues uncovered in daily surveillance. Act as administrator and systems expert...SurveillancePermanent employmentTemporary workWork at officeFlexible hours- Robinhood is seeking a Compliance Specialist to build and govern the regulatory framework for a new advisory business. You will coordinate... ...processes. You will respond to regulatory inquiries, craft surveillance tools, and guide policy development, while aligning with...Surveillance
$92.5k - $115.5k
...life while preserving their wealth for future generations and supporting the causes and... .... Escalate exceptions to business and Compliance management along with supporting... ...or related to issues uncovered in daily surveillance. Act as administrator and systems expert...SurveillancePermanent employmentTemporary workWork at officeFlexible hours$30 per hour
...looking for a Co-Op student to join our Compliance Team in Chicago, IL (15-25 hours/week,... ...as a compliance generalist, supporting surveillance, research, and administrative work across... ...reviews of the Firm\'s options, futures, and equity trading activity Help manage...SurveillanceFull timeInternshipWork at officeFlexible hours- Senior Derivatives Compliance Consultant (NFA/CFTC, DCM/DCO Focus) We are a specialized compliance... ...on CFTC and NFA rules applicable to futures, options on futures, and cleared... ...enhancement, and documentation of compliance and surveillance programs, including policies,...SurveillanceContract work
$90k - $110k
Chicago, IllinoisCompliance - Regulatory Compliance & Operations /HybridCrypto.com |... ...contracts and will be offering traditional futures products in the near future. The Market... ...market advisories, investigations, trade surveillance, and disciplinary actions. In this...SurveillanceFull timeContract workWeekend workAfternoon shift$60k - $70k
Anti-Money Laundering (AML) Compliance Associate Anti-Money Laundering (AML) Compliance Associate... ...industry-leading trading platform and futures broker, we're on a mission to empower... ...adherence Enhance and maintain surveillance programs, internal controls, and watchlists...SurveillanceFull timeRemote workWorldwideFlexible hours$61.62k - $128.28k
...This Role This role combines strategic compliance work with hands‑on program support. You... .... Experience with compliance testing, surveillance, advertising review, sales practice oversight... .../or company success. Invest in your future with our 100% company‑funded Employee...SurveillanceWork at officeRemote work- ...goals with passion and integrity. The Compliance Director is a senior leader responsible... ...of Schwab’s Compliance Program for its Futures Commission Merchant (FCM) and Forex Dealer... ..., and market integrity Monitoring, Surveillance, Testing, and Remediation Implement monitoring...Surveillance
$190k - $225k
...the new trading frontier. Bringing the future into focus. Rothera is building... ...market advisories, investigations, trade surveillance, and disciplinary actions. As we continue... ...for a Senior Director, Deputy Chief Compliance and Regulatory Officer to join the team...SurveillancePermanent employmentFull timeLocal area$90k - $115k
As a Compliance Surveillance Analyst, you'll help strengthen Optiver's compliance and surveillance capabilities by identifying regulatory and market conduct risks in a technology-driven trading environment. Through data-driven analysis and close collaboration across the...SurveillanceWork at office$95k - $125k
...multiple times and is one of Barron’s Top 100 RIA firms.As a Compliance Officer at Mesirow, the role will be responsible for supporting... ...and marketing materials, Code of Ethics monitoring, trade surveillance monitoring, testing, training, and developing compliance policies...SurveillanceFull timeWork at office3 days per week- ...relevant to our clients, can generate value and drive positive change.Job DescriptionThe Compliance Analyst supports the firm’s Compliance Program through ongoing monitoring, surveillance, testing, and advisory activities. This role plays a key part in upholding the firm’s...SurveillanceFull timeTemporary workWork at officeLocal areaWorldwideFlexible hours
- Marex Group in Chicago, IL, is seeking a Compliance Officer to oversee US broker-dealer and FCM activities, focusing on surveillance, audits and policy implementation to protect Marex’s licenses and reputation. You will monitor transactions, review alerts, coordinate with...Surveillance
$80k - $95k
...business decisions? Are you interested in developing practical compliance expertise while supporting a growing investment advisory... ...and risk-based compliance program. The Role Conduct surveillance and review of employee electronic communications, including email...SurveillanceTemporary workWork at officeLocal areaVisa sponsorshipWork visaFlexible hours- Phaxis seeks a Senior Compliance Officer to provide real-time compliance advisory support for our Futures Commission Merchant (FCM) business and affiliated entities in the United States. You will lead regulatory filings, draft and refine policies, and advise front-office...
- ...our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services... ...office is hiring an experienced Chief Compliance Officer of the Futures Division. The position... ...FCM) Compliance team and oversee Trade Surveillance activities Interface with regulatory...SurveillanceWork at office
- Optiver, a leading global market maker, is seeking a Compliance Surveillance Analyst in Chicago to strengthen surveillance and regulatory risk management within a technology-driven trading environment. You will investigate alerts, analyze trading data, and improve controls...Surveillance
$65k - $120k
Compliance, Private Wealth Management (PWM) Compliance, Associate, Chicago Chicago, IL, United States Job Description Global Compliance... ...Associate Responsibilities Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls...Surveillance$110k - $150k
...a well-established investment management firm, is seeking a Compliance Associate to join its Chicago-based compliance team. This role... ...questionnaires. Participate in compliance testing, monitoring, and surveillance initiatives. Assist with regulatory examinations, audits, and...SurveillanceWork at office- Chicago, IL, Compliance, Full-Time About Marex Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing... ...Responsibilities Provide Trade, E-communications, and Voice Surveillance review services to US Broker Dealer (BD) and FCM business...SurveillanceFull timeImmediate startWorldwide
- ...world. Pharmatech Associates is seeking an experienced DEA Compliance Consultant / Subject Matter Expert (SME) for a consulting engagement... ...operations. Assess physical security, access controls, surveillance, alarm systems, and diversion prevention measures. Recommend...SurveillanceLocal area
$65k - $120k
Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps... ...primary responsibilities will include: Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal...SurveillanceFull timeTemporary workPart time- Senior Consultant Business Consulting | Risk & Compliance | United States - New York / New Jersey MUST HAVE REG REPORTING EXPERIENCE... ...Diligence, Fraud, Sanctions screening, Transaction Monitoring, Trade Surveillance. Compliance: Regulatory impact assessment, policy governance...SurveillanceContract workApprenticeship
- ...that enable the transformative change they need to own their future.As a member of the Huron corporate team, you’ll help to evolve... ...create your future.Consultants' main role is providing trade surveillance and clearing trade alerts for various securities.Broker/Dealer...SurveillanceFull time
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