Compliance Manager — Broker-Dealer & SEC Compliance
Rothschild Wealth Partners
A boutique financial firm is seeking a Compliance Manager to support compliance programs focused on advisor licensing and registration. The role requires 2-5+ years in broker-dealer or securities compliance and involves responsibilities like onboarding, audits, and managing compliance systems. Ideal candidates will hold FINRA Series 24 and have strong documentation skills. A comprehensive benefits package is offered, reflecting the firm's dedication to employee well-being and growth. #J-18808-Ljbffr Rothschild Wealth Partners
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Compliance Manager — Broker-Dealer & SEC Compliance in Oak Brook, IL vacancy
$200k - $225k
...Head Of Broker Dealer Compliance DriveWealth is on a mission to make investing easier. We believe... ...Leadership & Supervision Direct Management: Supervise a team of compliance professionals... ...compliance frameworks aligned with SEC, FINRA, NFA, and other regulatory...SuggestedFull timeWork at officeWorldwideDriveWealth
Chicago, IL7 days ago$133.88k - $196.35k
...SEC & Compliance Reporting Head The Head of SEC & Compliance Reporting is responsible for the preparation, review, and filing of all external... ...for preparing other reporting following IFRS standards. Manage the process for preparing, reviewing, and filing the...SuggestedRemote workHome officeFlexible hoursCNH Industrial N.V.
Oak Brook, IL8 days ago$89.8k - $170.5k
...and that's why there's nowhere like RSM. RSM is looking for a Assurance Manager to join our Capital markets practice, which specializes in serving, introducing and clearing broker dealer clients of the firm. Our Capital markets practice is nationally integrated and...SuggestedWork experience placementInternshipLocal areaRSM US LLP
Chicago, IL5 days ago$180k - $230k
...Sr. Director of Compliance, Futures Commission Merchant (FCM) Chicago or Remote* JOIN... ...industry-leading trading platform and futures broker, we're empowering traders to take... ...monitoring and testing, regulatory change management, and regulatory engagement with the CFTC...SuggestedWork at officeRemote workWorldwideMonday to FridayFlexible hoursNinjaTrader
Chicago, IL5 days ago$72k - $141k
...under policies issued to our life agent, broker-dealer, and investment advisor, banking and... ...and within defined authority limits, to manage Financial Lines claims with moderate to... ...Maintains subject matter expertise and ensures compliance with state/local regulatory...SuggestedWork experience placementWork at officeLocal areaShift workCNA
Chicago, IL1 day ago$300k - $350k
...Head Of Compliance The Head Of Compliance is responsible for designing... ..., private placements, and SEC regulatory requirements.... ...Advise and direct senior management and staff on all issues concerning... ...procedures. Oversee the broker-dealer compliance program functions...Full timeTemporary workWork at officeThe Inland Real Estate Group of Companies, Inc.
Oak Brook, IL5 days ago- JPMorgan Asset Management (JPMAM) helps institutional and individual clients from around the globe meet their financial goals by providing industry-leading investment solutions. Our wide array of financial strategies—equity, fixed income, cash management, currency, asset...
- A diversified global manufacturer is seeking a Global Trade Compliance Manager in Downers Grove, IL. This role involves focusing on U.S. customs and international trade compliance matters, coordinating with various departments. The ideal candidate will have at least 5...
- A leading hardware retailer in Oak Brook seeks an experienced compliance manager to ensure adherence to customs regulations, oversee international trade logistics, and lead a dynamic team. Key responsibilities include managing compliance audits, collaborating with customs...
$130k - $150k
...Stock Exchange under "DOV." Additional information is available at dovercorporation.com. Position Summary The Global Trade Compliance Manager will focus on U.S. customs and international trade compliance matters. This position reports to the Senior Associate Counsel,...Temporary workWork experience placementLocal areaFlexible hours$80k - $120k
...are seeking an organized and detail-oriented Retirement Plan Compliance Analyst to join our team. As a compliance analyst you will play... ...protocol to ensure accuracy of documentation. Document Production/Management: Adhere to document production timelines to ensure efficiency...Temporary workWork at officeLocal areaVisa sponsorshipWork visaFlexible hoursWTW inc.
Chicago, IL9 days ago$112k - $155k
...Global Trade Compliance Export Manager The Company Zurn Elkay Water Solutions Corporation is a thriving, values-driven company focused on... ...of relevant Global Trade Compliance experience ~ Customs Broker License preferred ~ Management experience preferred ~ Microsoft...Work at officeWorldwideElkay
Downers Grove, IL2 days ago$128.1k - $239.6k
...As an Assistant Director in the Information Security Portfolio Compliance Enablement function, you will work closely with our service... ...Compliance Enablement function will focus on these pillars: Risk Management and Reduction: Assisting with managing the Portfolio or...Work experience placementSummer holidayLocal areaFlexible hoursEY
Chicago, IL5 days ago- ...in regulatory sciences, clinical research solutions, quality & compliance, pharmacovigilance, medical information, and R&D technology,... ...leading and overseeing projects for US Regulatory science clients, managing a team of professionals, and ensuring the successful delivery...Contract workWork at officeRemote work
ProPharma Group
Western Springs, IL1 day ago $99k - $232k
...Specialty/Competency: Conduct and Compliance Industry/Sector: Pharma and Life Sciences Time Type: Full time Travel Requirements... ...and compliance focus on maintaining regulatory compliance and managing risks for clients, providing advice, and solutions. They help...Full timeH1bPwC
Chicago, IL4 days ago$80k - $150k
...Tiedeman Road, Brooklyn Ohio Job Summary The Fair and Responsible Banking (FARB) Team Lead is a member of the Compliance team within Compliance Risk Management and supports FARB leadership in executing the Fair Lending Program. The Team Lead is responsible for...Work experience placementWork at officeFlexible hoursNight shiftKey Bank
Chicago, IL4 days ago$120k - $215k
...sits at the intersection of Forensics, Compliance, and Financial Services Advisory, leading... ...What You'll Do Support senior management in complex dispute resolution engagements... ...Monitor regulatory developments (e.g., SEC, FINRA, AML/KYC, FCPA, SOX) and emerging...Local areaFlexible hoursStout Risius Ross
Chicago, IL1 day ago- ...English (Required) Work Shift: 1st Shift (United States of America) Please review the following job description: The Compliance Sr. Manager serves as a trusted compliance partner to CRC Group business units, helping design, implement, and sustain effective...Full timeTemporary workWork experience placementWork at officeShift workDay shift
CRC Insurance Services, Inc.
Chicago, IL5 days ago - ...exposure to governmental penalties by ensuring compliance with US Customs and Border Protection... ...chain by resolving compliance matters.* Manage special project/requests for import/... ...and ISA program.*** **Licenses Customs Broker required.*** **Bachelor’s Degree preferred...Temporary workImmediate start
$90k - $110k
...WILL BE FULLY ONSITE IN SMYRNA, TN* Position Summary This role manages processes to ensure that data and information provided to... ...correct and accurate before going to market. Retail and Corporate Compliance Review all packaging, inserts, warranties, care tags, etc., to...Local areaRelocation package- National Youth Advocate Program (NYAP) seeks a compliance specialist in Chicago, IL to ensure adherence to child welfare standards and regulations. This role demands strong expertise in child welfare practices, ability to guide staff, and knowledge of reporting requirements...
$80k
BSA/AML Compliance Manager - To $80K - Chicago, IL - Job # 2155 Who We Are The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & Rockport, TX. Our unique value proposition centers around providing the best available banking and accounting...$150k - $190k
A leading advisory firm is seeking a Senior Manager, ISS to oversee client engagements related to government contracts, providing technical advice in compliance matters. The ideal candidate will have a Bachelor's degree in Accounting or Finance and a minimum of eight years...- ...oversee the implementation, training, documentation and ongoing compliance with ORR Policy and the interim final rule on preventing,... ...resolution Actively promote a culture of safety, proactive risk management and adherence to ORR Policy/Manual of Procedure Sections 4 and...Contract workInterim roleSummer workWork at officeRelocationFlexible hoursNight shiftWeekend work
$171.7k - $300.5k
...exceptional service. The Global Head of Wealth Compliance is responsible for leading, developing,... ...strategy for the firm's global wealth management business. This role ensures that the... ...regulatory requirements (e.g., FCA, SEC, FINRA, MAS, ESMA, ASIC, SFC). Ensure...Local areaFlexible hoursNorthern Trust
Chicago, IL3 days ago$200k - $225k
...solutions through our Wealth Management, Capital Markets, Futures... ...hiring an experienced Chief Compliance Officer of the Futures Division... ...least 5+ years of leading broker-dealer compliance function ~ FINRA... ...Proven track record with FINRA, SEC, NFA and other industry...Work at officeLocal areaFlexible hoursWedbush Securities
Chicago, IL5 days ago- ...Al Warren Oil Company ~ Lead Safety. Strengthen Compliance. Support Operations. Al Warren Oil Company is seeking a technically driven and detail-oriented Safety & Compliance Manager to support and strengthen transportation safety, regulatory compliance, and operational...Full timeWork at officeMonday to Friday
T.H.E. Corporation
Chicago, IL2 days ago - ...Senior Compliance Program Manager Full Time Oklahoma City / Lodi, NJ About the Role We are seeking an experienced Senior Compliance Program Manager to lead regulatory compliance across multiple product lines. This role oversees NSF certifications, EPA-regulated...Full time
CFS Brands
Batavia, IL3 days ago - ...Are you passionate about ensuring compliance and integrity in the automotive industry... ...maintain accuracy and fairness across our dealer network, making a significant impact in... ...deviations. Collaborate with dealership management and corporate teams to ensure compliance...Work at officeFlexible hours
Abacus
Chicago, IL2 days ago $120k - $155k
...Chief Compliance Officer The Chief Compliance Officer (CCO) serves as the organization'... ...retirement plans, and investment model management. As a key partner to the CEO and executive... ...federal and state regulations, including SEC, DOL, ERISA, and FINRA requirements,...Contract workTemporary workLocal areaRemote workFlexible hoursHIS Envoys Group
Villa Park, IL2 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Manager — Broker-Dealer & SEC Compliance. Be the first to apply!
Related searches
- sales broker Oak Brook, IL
- logistics broker Oak Brook, IL
- energy broker Oak Brook, IL
- transportation broker Oak Brook, IL
- business broker Oak Brook, IL
- managing broker Oak Brook, IL
- compliance lead Oak Brook, IL
- regulatory compliance remote Oak Brook, IL
- customs compliance Oak Brook, IL
- vendor compliance Oak Brook, IL