Senior Broker/Dealer Compliance Strategist
CNO Financial Group
CNO Financial Group in Chicago is seeking a Sr. Compliance Analyst for the Broker/Dealer Compliance team. The role focuses on implementing and maintaining the Compliance Program while ensuring adherence to regulatory standards. Candidates should possess strong analytical and organizational skills, and relevant certifications including Series 7 and 24. The position offers a competitive salary range and various benefits, including medical and dental insurance, a 401(k) plan with company match, and paid parental leave. Occasional travel (30%) is required. #J-18808-Ljbffr CNO Financial Group
- CNO Financial Group, Inc. is seeking a Sr Compliance Analyst for the Broker/Dealer Compliance team to oversee the administration of the Compliance Program. This remote position requires extensive knowledge in compliance with SEC and FINRA regulations. Responsibilities...SeniorRemote job
- ...available to travel to corporate offices. Position Sr. Compliance Analyst, Broker/Dealer - key contributor to the Broker/Dealer Compliance team, responsible... .... Identify and escalates potential issues to senior management as directed. Conduct in-depth surveillance of...SeniorRemote jobTemporary work
- 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...Suggested
$200k - $225k
...Head Of Broker Dealer Compliance DriveWealth is on a mission to make investing easier. We believe that everyone should have the ability to control their financial future, and that access to financial markets should not be limited by geography, wealth, or legacy systems...SuggestedFull timeWork at officeWorldwide$86.72k - $119.24k
Mars UK is seeking a Trade Compliance Sr. Specialist to join their team in Chicago, IL. In this role, you will design and implement compliance... ...collaborating with various stakeholders, including Customs brokers and government authorities. The ideal candidate will have...Senior- ...Responsibilities: • Provide legal oversight for broker-dealer activities and advise on regulatory and... ..., and outside counsel • Partner with Compliance, Risk, Operations, Finance, HR, and... ...growth while managing risk • Advise senior leadership regarding legal and...Relocation
- Ferrara is seeking a Senior Regulatory Specialist in Chicago who will have a key role in product innovation by providing expert regulatory guidance. The individual will navigate complexities of FDA formulation and labeling to ensure products are market-ready. This role...Senior
$110k - $145k
...Annuity Association of America is seeking a Vice President of Broker Dealer and Middle Office Operations in Chicago. This leadership role... ...Managed Accounts business, ensuring trade settlements, compliance, and risk mitigation. Ideal candidates will have over 5 years...Work at office$62.8k - $103.4k
RSM US LLP is seeking a Senior Payroll Specialist in Chicago, IL to manage payroll processing for multi-state clients. This involves ensuring compliance with payroll laws, preparing reports, and maintaining strong client relationships. Applicants should have over 5 years...SeniorWork at office$22.86 - $25 per hour
Join Sedgwick Claims Management Services Ltd as a Disability Representative Sr., where you will manage disability claims and ensure compliance with various regulations. This role integrates complex case management responsibilities and involves timely communication with...SeniorHourly pay- Preferred Risk Insurance is looking for an experienced Senior Regulatory Compliance Analyst to join our Compliance Team. This role involves monitoring and interpreting federal and state insurance regulations and leading internal compliance reviews. The ideal candidate...Senior
- Ripple is seeking a Senior Accountant in Chicago, Illinois. In this role, you will be responsible for broker-dealer accounting, regulatory reporting, and financial reporting. A Bachelor's degree in Accounting or Finance is required, along with 3-6 years of relevant experience...Senior
$118.78k - $157.61k
Capgemini is looking for an SME in Crop Insurance with 10-15 years of expertise based in Chicago, IL. This role focuses on providing domain expertise in various crop insurance products, interpreting USDA regulations, supporting Guidewire implementations, and ensuring operational...Senior$63.3k - $117.2k
Le Bank of Montreal à Chicago cherche à recruter un gestionnaire des risques, spécialisé dans la gestion de portefeuilles de prêts à risque élevé. Le candidat doit avoir entre quatre et six années d'expérience pertinente ainsi qu'un diplôme d'études postsecondaires. Les...Senior- ...strategies, use data to help them to optimize their risk profiles, and recommend plans to monitor and mitigate their risk exposure. A Senior Risk Consulting Engagement Lead is a recognized subject matter expert, making an impact as an influential individual contributor by...Senior
$26 - $31 per hour
CrossCountry Mortgage, LLC seeks a Senior Loan Processor for its Chicago, IL office. The role involves reviewing borrower documentation, assembling loan packages, and ensuring compliance with regulations. Ideal candidates have at least 5 years of mortgage processing experience...SeniorHourly payWork at office- ...strategies, use data to help them to optimize their risk profiles, and recommend plans to monitor and mitigate their risk exposure. A Senior Risk Consulting Engagement Lead is a recognized subject matter expert, making an impact as an influential individual contributor by...SeniorMinimum wage
- ...Growing Organization seeks a Senior Title Examiner or Underwriting Attorney to join their growing team. The Title Examiner is responsible... ...title commitments, endorsements, and final title policies in compliance with underwriting standards · Provide guidance on real estate...SeniorImmediate start
$81.7k - $135k
A leading global professional services firm is seeking a Senior Property Tax consultant in Chicago, Illinois. You will advise on tax regulatory changes, manage compliance processes, and identify optimization opportunities within indirect tax strategies. The role requires...SeniorFlexible hours$85k - $90k
...experience in administration and security for Microsoft 365, including expertise in managing Exchange Online, Teams, SharePoint, and compliance frameworks. The ideal candidate will implement Zero Trust principles, automate administrative tasks, and provide L3 support while...Senior$125k - $150k
Invenergy LLC is seeking a Senior Advisor, Property Tax to join their growing tax team in downtown Chicago. You will lead high-impact property tax planning and compliance initiatives, engaging with external advisors and cross-functional teams to meet obligations effectively...SeniorVisa sponsorship$75.8k - $164.1k
A leading risk management firm is seeking a Senior Property Risk Engineering Consultant focused on field risk engineering. This remote position involves developing strategies to minimize loss, supporting underwriting efforts, and engaging with clients. Candidates should...SeniorRemote job- A leading insurance provider is seeking a Property Field Risk Engineering Consultant in Chicago or nearby areas. The role involves providing field risk engineering, developing customer service strategies, and assisting with underwriting support. Ideal candidates have a ...SeniorRemote jobFull time
- ...clients and validate offerings in a complex regulatory environment. The ideal candidate will have senior advisory experience in healthcare, a solid understanding of compliance and clinical operations, and connections with payer or provider organizations. Join to explore...Senior
$75.8k - $164.1k
...Senior Property Risk Engineering Consultant 131199 Zurich's Risk Engineering Property Midwest Team is seeking a Property Field Risk... ...Provide engineering support to underwriting team by attending client broker meetings Perform field engineering services where necessary,...SeniorFull timeTemporary workApprenticeshipLocal areaRemote workWork from homeVisa sponsorship- ...A global management consulting firm located in Chicago is seeking a Principal/Senior Consultant in Anti-Fraud Risk Management to lead strategic programs. The ideal candidate will have over 7 years of experience in Financial Services and at least 4 years in fraud risk...Senior
$170k - $210k
Strategy Execution Consultant - Director & Senior Director Levels Practice/Department: Strategy Execution Practice Location: Chicago, IL Position Type: Full Time, Exempt What You’ll Do at BTS BTS is a consultancy specializing in the people side of strategy. For over three...SeniorFull timeWork experience placementWork at office- ...Hightower Advisors is seeking a skilled professional in Chicago to manage fixed income trades, ensuring market efficiency and compliance. The ideal candidate will have a Bachelor's degree, Series 7 & 66 licenses, and significant experience in the financial services sector...SeniorWork at officeFlexible hours
$110k - $145k
The Vice President of Broker Dealer and Middle Office Operations will lead a team responsible for the clearing, settlement, and operational... ...while ensuring timely trade settlement, regulatory compliance, and risk mitigation. This position requires a seasoned professional...Work experience placementWork at office- Phillip Capital Inc. is looking for a Broker Dealer Operations Analyst in Chicago, IL (Hybrid). The ideal candidate will have at least 3... ...execution, clearing and settlement services, and ensuring regulatory compliance. This role offers a chance to work in a dynamic environment...Work at office
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