Senior Compliance Officer - Retail FX & Futures
tastytrade
tastytrade is seeking a Compliance Officer to support the compliance program for tastyfx/tastytrade futures in Chicago. This senior role reports to the Chief Compliance Officer and focuses on monitoring CFTC/NFA rules, advising on products, maintaining registrations, and coordinating regulatory inquiries. You will deliver AML/KYC oversight, supervise due diligence, and train staff on evolving regulations and internal policies. #J-18808-Ljbffr tastytrade
- Wedbush seeks a Senior Vice President, Market Risk Analytics Manager FICCS for the Chicago office. The role focuses on providing market risk analysis across futures, FX, power products, and fixed income within the Risk and Credit Group. The candidate will design SQL queries...SeniorWork at office
- 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...Senior
- ...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
- IG North America is seeking a Compliance Officer for tastyfx/tastytrade futures to help maintain our regulatory standing and support the Chief Compliance Officer. Based in Chicago (in-office 3 days per week), you will monitor CFTC/NFA rules, oversee licensing and registrations...SeniorWork at office3 days per week
- 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
- ...Reports To: Chief Compliance Officer for tastyfx/tastytrade futures Location: Chicago, IL (In-office 3 days/week) Licensure: Series 3and Series34stronglypreferred... ..., NFA rules, and internal policies governing retail forex operations. The role is critical to maintaining...Work at office3 days per week
$180k - $250k
...Management, Capital Markets, Futures and Advanced Clearing & Prime... ...Angeles, California with over 100 offices and more than 80... ...is hiring for an experienced Senior Vice President, Market Risk Analytics... ...futures, options on futures, FX, power products and Fixed Income...SeniorFull timeWork at officeLocal areaImmediate startNight shift$198.7k - $391.6k
...Pricing and Sales Strategy_ Senior Manager, Strategy, Growth, and Transformation... ..., now or at any time in the future. Preferred: Advanced degree in... ...components such as PROS, Price Fx, and/or VendavoSector knowledge in Consumer Products, Retail, Industrial Products and...SeniorLocal area$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$84k - $118.11k
..., consider joining Baker Tilly (BT) as a Consumer Regulatory Compliance Senior Consultant! Our Risk Advisory practice provides a full spectrum... ...required. Candidates interested in pursuing the CRCM in the future are encouraged to apply. Familiarity with federal or state...SeniorFull timeWork experience placementLocal areaWorldwide$89k - $105k
Join us in building the future of finance.Our mission is to democratize finance for all... ...their fingertips, anytime and anywhere. The Compliance Specialist will help create and champion... ..., TX, Denver, and Menlo Park, CA office(s), with in-person attendance expected at...SeniorWork at officeFlexible hoursShift work3 days per week- ...Moody’s, a global leader in ratings and risk assessment, seeks senior experts in financial crime compliance to engage clients and shape strategy across KYC, AML, sanctions, and third-party risk solutions. You will translate complex challenges into actionable recommendations...Senior
- ...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
- ...Cboe Global Markets in Chicago is seeking a Senior Specialist, Compliance Training to lead the enterprise-wide Compliance Training program. You will design and deliver training that translates policies into practical guidance and fosters a culture of ethics and compliant...Senior
$100k - $135k
...Salary: USD100000 - USD135000 per annum SENIOR COMPLIANCE ANALYST $100-135k | REMOTE Global non-profit organization is looking to expand... ...wide scope of areas to make an impact and grow into for the future. Purpose of the Role: This person will work cross-...SeniorWork experience placementRemote work- ...Mesirow is seeking a Compliance Officer in Chicago to support all aspects of the Compliance Department, including ethics governance, AML/KYC, training, and policy development. This role partners with Legal, Risk, and Business units to ensure robust controls and regulatory...SeniorWork at office3 days per week
$83.1k - $141.3k
...technology and exceptional service. The HR Compliance team within Employee Relations is... ...applicable employment laws and regulations. The Senior Consultant is responsible for... ...employment-based visa sponsorship now or in the future. Northern Trust will not sponsor...SeniorFull timeWork experience placementH1bLocal areaWorldwideFlexible hours$130k - $145k
...OUR MISSION TO BECOME THE #1 RETAIL TRADING PLATFORM IN THE WORLDWelcome... ...leading trading platform and futures broker, we're empowering... ...to help us scale our compliance program through automation and... ...follow a hybrid work schedule: In-office Tuesday through Thursday, with...Work at officeWorldwideMonday to FridayFlexible hours- Connect Search, LLC is seeking an experienced Compliance Officer to join its Legal & Compliance team in Chicago. The role focuses on AML/KYC, regulatory matters, and independent execution from analysis to completion. The ideal candidate is a well-rounded compliance generalist...Senior
- 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...SeniorWork at office3 days per week
- Golub Capital seeks a Compliance Officer to lead AML/KYC programs and manage regulatory filings within the Legal & Compliance Department in Chicago. The role requires deep knowledge of securities regulation and experience with risk mitigation and control design. Ideal...Senior
- ...Percentage: NoneJob Category: Compliance & Legal Company Summary... ...Position Summary & Purpose The Senior Legal & Compliance Specialist... ...General Counsel, Chief Compliance Officer, and business teams across... ...visa sponsorship now or in the future. Candidates requiring...SeniorPermanent employmentContract workWork experience placementH1bWork at office
$119k - $218.3k
Position Summary Senior Consultant - Risk, Regulatory, & Licensing... ..., and prepare for the future of banking and capital... ...with up-to-date perspectives on compliance obligations and industry best... ...deadlinesAdvanced aptitude with Microsoft Office products, particularly...SeniorWork at office- 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...Senior
- Geneva Trading in Chicago is seeking a Senior Quantitative Risk Analyst to design, develop, and maintain quantitative risk models for futures markets while providing first-line support for live trading. The role emphasizes AI-driven risk techniques, real-time monitoring...Senior
- ...manage the delivery process with counterparties and ensure system compliance while acting as the ambassador for Bunge to regulatory bodies.... ..., a college degree, and strong skills in trading fundamentals, futures delivery, and accounting. #J-18808-Ljbffr Kappaalphapsi1911Senior
$31 - $34.5 per hour
...individuals to join our dynamic team as dedicated year-round TurboTax Retail Experts in one of our TurboTax Retail or Flagship locations... ..., minimize tax liabilities, maximize refunds, and provide future tax planning advice. \n Utilize resources such as government...SeniorLocal area- ...implement, and maintain quantitative risk models and margin tools for futures markets, while supporting live trading activity. The role... ...with traders and core engineering teams. Open to junior and senior candidates for growth and leadership opportunities. #J-18808-Ljbffr...Senior
$165k - $216.56k
...ways to deliver results. At Snowflake, your role isn't just to execute a function, but to help redefine the future of how work gets done.We are looking for a Senior Solution Engineer who is accustomed to solving customer’s most complex problems and closing large deals....SeniorRemote work$110k - $120k
...recognizing the transformative power of data in retail. We offer our clients cutting-edge tools... ...people at the center of everything we do.Senior Customer Success ManagerFor over 20 years... ...the need for sponsorship now or in the future Senior Customer Success Managers guide...SeniorRemote workWork visaFlexible hours
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Compliance Officer - Retail FX & Futures. Be the first to apply!
- regulatory compliance analyst Chicago, IL
- medicare compliance specialist Chicago, IL
- regulatory analyst Chicago, IL
- senior compliance officer Chicago, IL
- legal compliance officer Chicago, IL
- privacy compliance analyst Chicago, IL
- senior compliance analyst Chicago, IL
- regulatory specialist Chicago, IL
- risk and compliance analyst Chicago, IL
- information security compliance analyst Chicago, IL


