Trading Compliance Analyst: KYC, Policy & Surveillance
$70k - $85kDV Trading Inc.
DV Trading Inc. is seeking a Compliance Analyst in Chicago to support its Compliance Department. The successful candidate will engage in compliance/trade practice surveillance, onboarding new broker relationships, and drafting compliance policies. This role requires a bachelor's degree, at least one year of regulatory experience, excellent communication skills, and a strong understanding of trading compliance. The company offers a competitive annual salary between $70K and $85K, plus bonus eligibility, medical benefits, and a retirement plan. #J-18808-Ljbffr DV Trading Inc.
Vacancy posted 10 hours ago
Similar jobs that could be interesting for youBased on the Trading Compliance Analyst: KYC, Policy & Surveillance in Chicago, IL vacancy
$65k - $75k
...at the forefront of trading innovation, starting... ...is looking to hire a Compliance Analyst in our Chicago office... ...and existing clients' KYC profiles and transactions... ...in line with IBKR policy Assessing client's AML... ...with trade surveillance Success Factors Self...SurveillancePolicyWork at officeRemote work$70k - $85k
...services firm in Chicago is seeking a Compliance professional to join its team.... ...candidate will handle compliance surveillance, draft policies, and respond to KYC requests, requiring a Bachelor's... ...$70K and $85K plus a discretionary bonus. #J-18808-Ljbffr DV TradingSurveillancePolicyWork at office$70k - $85k
...brokerage firm in 2016, DV Trading has rapidly scaled as... ...eager to join its Compliance Department and support... ...trade practice automated surveillance (reviewing daily... ...relationships Responding to KYC requests Drafting... ...internal risk and compliance policies Research emerging...SurveillancePolicyWork at officeWorldwide$75k
...Akuna Capital is an innovative trading firm with a strong focus on... ...What you'll do as a Junior Compliance Analyst at Akuna: Akuna... ...you will: Monitor surveillance systems daily to detect... ...compliance procedures and maintain policy and procedure updates...SurveillancePolicyWork experience placementWork at office3 days per week1 day per weekAkuna Capital
Chicago, IL10 hours ago$88k - $110k
...Senior Compliance Analyst Headquartered in the historic Chicago Board of Trade, PEAK6 Capital Management is a proprietary options... ...and diverse compliance policies and procedures for an options... ...future. Oversee existing surveillance and enhance as appropriate;...SurveillancePolicyRemote work2 days per weekPEAK6 Capital Management
Chicago, IL4 days ago- ...travel to corporate offices. Position Sr. Compliance Analyst, Broker/Dealer – key contributor to... ...with regulatory standards and firm policies. Act as conduit between the firm and regulator... ...as directed. Conduct in-depth surveillance of various functions and processes to...SurveillancePolicyTemporary workRemote work
CNO Financial Group
Chicago, IL5 hours ago $75k - $90k
...Range: $75,000 - $90,000 Group One Trading is seeking a Compliance Associate to support the day-to-day... ...Compliance Department, with a focus on trade surveillance, investigation support, and... ...library Follow established compliance policies and procedures consistently, and...SurveillancePolicyInternshipWork at officeFlexible hoursGroup One Trading
Chicago, IL6 days ago$70k - $75k
...Compliance Analyst Connecting clients to markets – and talent to opportunity... ...clients to potential trading opportunities, or ingrain yourself... ...also include certain trade surveillance alerts in the Firm's... ...exchange rules, and internal policies to provide guidance to...SurveillancePolicyStoneX Group
Chicago, IL2 days ago$80k - $115k
...Compliance Associate Chicago, Illinois, United States... ..., including AML and KYC. Helping maintain information... ...-to-day basis around policies, procedures, and... ...review, surveillance, other testing and helping... ...compliance around employee trading, including reviewing employee...SurveillancePolicyTemporary workWork at officeFlexible hoursGCM Grosvenor
Chicago, IL4 days ago$50.7k - $101.3k
...We have an opportunity for a Junior Compliance and Trade Analyst within the RMDx Rapid and Molecular... ...compliance with 19 CFR, 15 CFR, and internal policies while contributing to the... ...TRAVEL: No MEDICAL SURVEILLANCE: No SIGNIFICANT WORK ACTIVITIES...SurveillancePolicyWorldwideShift workAbbott
Chicago, IL2 days ago$75k
A trading firm in Chicago is seeking a Junior Compliance Analyst to assist in regulatory compliance. Responsibilities include monitoring surveillance systems, reviewing trading activities, and managing compliance procedures. Ideal candidates possess analytical skills, attention...Surveillance- ...chicagoatlantic.com. Our company is seeking a Compliance Analyst with up to three years of relevant... ...of the Firm’s written compliance policies and procedures, including supporting... ...activities, including personal trading surveillance, restricted list monitoring, gifts...SurveillancePolicyWork at office
$65k - $75k
...at the forefront of trading innovation, starting... ...is looking to hire a Compliance Analyst in our Chicago office... ...and existing clients' KYC profiles and transactions... ...in line with IBKR policy Assessing client's AML... ...with trade surveillance. To be successful in...SurveillancePolicyWork at officeRemote workInteractive Brokers
Chicago, IL4 days ago- Chief Compliance Officer (DCO) / Chief Regulatory Officer (DCM) CFTC... ...exchange rulebooks, market surveillance programs, and self-... ...compliance remit, including AML/KYC, trade surveillance, data protection... ...(DCO) from the ground up — policies, procedures, controls, surveillance...SurveillancePolicyOdd jobContract workWork at officeRemote work3 days per week
Smarkets
Chicago, IL2 days ago - ...Onboarding and Risk Management Analyst’s primary responsibility... .../documents to ensure compliance of internal policy and regulatory requirements... ...client due diligence and KYC/KYB screening on new customers... ...business units leaders, surveillance, compliance, and technology...SurveillancePolicyRemote workWork from home
$90k - $115k
Job Summary IT Risk and Compliance Analyst position is a highly visible, client‑facing role that... ...Program and implements security policy objectives aligned with business objectives... ...experience involving ISO27001 annual surveillance audits and full recertification audits...SurveillancePolicyWork experience placementLocal area- ...and Risk Management Analyst's primary responsibility... ...documents to ensure compliance of internal policy and regulatory... ...client due diligence and KYC/KYB screening on new... ...units leaders, surveillance, compliance, and technology... ...to offer crypto trading, stablecoin payments...SurveillancePolicyImmediate startRemote workWork from home
Zero Hash
Chicago, IL10 hours ago $85k - $100k
..., IL Salary Range: $85,000 - $100,000 Group One Trading is seeking a Compliance Data Analyst to sit at the intersection of technology and compliance... ...the data infrastructure that powers our trade surveillance, investigations, and regulatory reporting programs. You...SurveillanceWork at officeFlexible hoursGroup One Trading
Chicago, IL1 day ago- ...And Risk Management Analyst/h2pThe Junior Customer... ...documents to ensure compliance of internal policy and regulatory... ...client due diligence and KYC/KYB screening on new... ...units leaders, surveillance, compliance, and technology... ...to offer crypto trading, stablecoin payments...SurveillancePolicyRemote work
$50.7k - $101.3k
...We have an opportunity for a Junior Compliance and Trade Analyst within the RMDx Rapid and Molecular... ...compliance with 19 CFR, 15 CFR, and internal policies while contributing to the... ...SHIFT: Standard TRAVEL: No MEDICAL SURVEILLANCE: No SIGNIFICANT WORK ACTIVITIES: Keyboard...SurveillancePolicyFull timeWorldwideShift work- ..., and body coverage. Protocol Enforcement: Enforce company policies regarding access, photography, and sensitive areas with professionalism... ...the safety of executives, staff, and guests. Area Sweeps & Surveillance: Conduct regular security sweeps and live monitoring of...SurveillancePolicyWork at office
Crisis24
Chicago, IL2 days ago $200k - $245k
...a market-leading proprietary trading firm deploying its own capital... ...and capability of the US Compliance function. Design, maintain... ...advice provided. Ensure that policies and procedures remain fit for... ...requirements for investment advisors; KYC/AML requirements for...PolicyTemporary workWork at officeLocal areaMAVEN
Chicago, IL1 day ago- ...financial solutions. The SG Americas Compliance department acts as Second Line of... ...and the development of related policies, procedures, training, and controls... ...protection. Additionally, it conducts trade and communications surveillance, and manages transversal support...SurveillancePolicyWork at officeLocal area
Societe Generale
Chicago, IL3 days ago $90k - $100k
...Senior Associate, AML & Compliance Testing The Senior Associate, AML & Compliance Testing... ..., and enhance AML Program, including policies, procedures, and internal controls.... ...monitoring alerts, exception reports, and surveillance outputs related to broker-dealer activity...SurveillancePolicyPermanent employmentWork at officeLocal areaFlexible hoursHighTower Advisors
Chicago, IL4 days ago- ...Local Markets & Commodities Compliance Officer This group focuses on... ...Currencies (FICC) sales and trading desks. Responsibilities... ...hoc issues arise Produce new policies and procedures, and assess and... ...between Capital Market Surveillance and the relevant trading desks...SurveillancePolicyLocal area
$75k - $85k
...at the forefront of trading innovation , starting... ...is looking to hire a Compliance Analyst in our Chicago office... ...and existing clients' KYC profiles and transactions... ...in line with IBKR policy Assessing client's... ...experience with trade surveillance. To be successful in...SurveillancePolicyContract workFor contractorsFor subcontractorWork at officeImmediate startRemote work$92.5k - $115.5k
...s Code of Ethics Program including policies governing personal trading, gifts and entertainment, outside business... ...exceptions to business and Compliance management along with supporting documentation... ...to issues uncovered in daily surveillance. Act as administrator and...SurveillancePolicyPermanent employmentTemporary workWork at officeFlexible hoursCorient Capital Partners
Chicago, IL10 hours ago- ...The Merch Manager is also responsible for ensuring all company policies and procedures are understood and executed. Accountable for... ...and Equipment o Kronos (Time and Attendance) o Outlook o Word/Excel o Alarm System o DVR Surveillance System o CalculatorSurveillancePolicyFlexible hoursNight shiftWeekend work
Forman Mills
Chicago, IL2 days ago $260k - $320k
..., geospatial datasets, media editing and rendering, and video surveillance, Qumulo unlocks the full power of an organization's information... ...& Perks: ~ Pre-IPO stock options ~ Flexible time-off policy ~ HSA and PPO health insurance options ~ Dental and Vision...SurveillancePolicyLocal areaFlexible hoursQumulo
Chicago, IL2 days ago- The Opportunity Compliance at U.S. RIAs, broker‑dealers... ...largely on manual review — analysts reading marketing... ...keywords, and reviewing trades and trade requests by... ...officer, cites firm policy and SEC/FINRA regulations... ...into communications surveillance, policy and manuals, audit...SurveillancePolicy
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Trading Compliance Analyst: KYC, Policy & Surveillance. Be the first to apply!
Related searches
- coding compliance specialist Chicago, IL
- regulatory affairs specialist Chicago, IL
- regulatory compliance associate Chicago, IL
- regulatory compliance analyst Chicago, IL
- senior compliance officer Chicago, IL
- compliance analyst Chicago, IL
- governance risk & compliance analyst Chicago, IL
- aml compliance analyst Chicago, IL
- healthcare compliance officer Chicago, IL
- senior compliance analyst Chicago, IL