Compliance Associate: Trade Surveillance & Investigations
$75k - $90kGroup One Trading
Group One Trading is seeking a Compliance Associate in Chicago, IL, to support operations in the Compliance Department. The role involves monitoring trading activity, assisting with investigations, and maintaining compliance records. Ideal candidates should hold a Bachelor's degree, have strong organizational skills, and be detail-oriented. A competitive salary ranging from $75,000 to $90,000, along with fantastic benefits like 401(k) matching, medical, and generous vacation time, is offered. #J-18808-Ljbffr
- ...looking for a Consultant focused on Trade Surveillance, with a hybrid work schedule available... ...involves clearing trade alerts, conducting compliance surveillance, and researching... ...experience in trade surveillance and a strong investigative background. Huron is committed to...SurveillanceContract work
$75k - $90k
...Chicago, IL Salary Range: $75,000 - $90,000 Group One Trading is seeking a Compliance Associate to support the day-to-day operations of the Compliance Department, with a focus on trade surveillance, investigation support, and administrative functions. You'll work...SurveillanceInternshipWork at officeFlexible hours$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,...Surveillance- ...financial solutions.The SG Americas Compliance department acts as Second Line of... .... Additionally, it conducts trade and communications surveillance, and manages transversal support functions... ..., to relevant stakeholders for investigation and resolution;• Participate in the...SurveillanceWork at officeLocal area
$85k - $100k
...PortalPlayer, Inc. is seeking a Compliance Data Analyst in Chicago, IL, to manage data infrastructure for trade surveillance and compliance reporting. Ideal candidates will... ...creating dashboards, and supporting compliance investigations. The role requires a collaborative...Surveillance$70k - $75k
...StoneX Group Inc. is seeking a Compliance Analyst to support regulatory monitoring and ensure compliance with CFTC, NFA, and exchange rules. The ideal candidate will have experience in compliance and regulatory fields, strong analytical skills, and effective communication...Surveillance- ...regulatory inquiries/request to compliance staff, review and analyze requests... ...Program. Conduct reviews and internal investigations of various derivative trading desks to ensure compliance with... ...trade and communications surveillance, and manages transversal support...SurveillanceWork at officeLocal area
$80k - $85k
...Compliance Analyst Connecting clients to markets – and talent... ...retail clients to potential trading opportunities, or ingrain yourself... ...ongoing monitoring and surveillance functions to ensure... ...policies. Perform ad hoc investigations. Document and escalate potential...Surveillance$90k - $100k
...Senior Associate, AML & Compliance Testing The Senior Associate, AML & Compliance Testing is a dual-hat role... ...monitoring alerts, exception reports, and surveillance outputs related to broker-dealer activity. Investigate potential suspicious activity and prepare,...SurveillancePermanent employmentWork at officeLocal areaFlexible hours$88k - $110k
...Senior Compliance Analyst Headquartered in the historic Chicago Board of Trade, PEAK6 Capital Management is a proprietary options... ...future. Oversee existing surveillance and enhance as appropriate;... ...required books and records. Investigate and resolve compliance-...SurveillanceRemote work2 days per week$80k - $115k
...Compliance Associate Chicago, Illinois, United States As a member of Compliance, the individual... ...electronic communications review, surveillance, other testing and helping conduct the... ...Assisting with compliance around employee trading, including reviewing employee trading...SurveillanceTemporary workWork at officeFlexible hours$75k
...Akuna Akuna Capital is an innovative trading firm with a strong focus on... ...Singapore. What you’ll do as a Junior Compliance Analyst at Akuna Monitor surveillance systems daily to detect potential... ..., and flagged patterns Investigate suspicious trading behavior and prepare...SurveillanceWork experience placementWork at office3 days per week1 day per week- ...true career contractor with a focus in Trade Surveillance and is happy about a Hybrid work... ...Conduct daily surveillance to ensure compliance with appropriate rules, regulations,... ...firm policies. Perform research and investigations to identify the reason for potential...SurveillanceContract workFor contractors
$65k - $75k
...consistently at the forefront of trading innovation, starting with... ...is looking to hire a Compliance Analyst in our Chicago office... ...Writing risk assessments, investigations, suspicious activity reports... ...and experience with trade surveillance Success Factors Self-motivated...SurveillanceWork at officeRemote work$92.5k - $115.5k
...policies governing personal trading, gifts and entertainment,... ...exceptions to business and Compliance management along with supporting... .... Conduct targeted investigations in connection with special... ...issues uncovered in daily surveillance. Act as administrator and...SurveillancePermanent employmentTemporary workWork at officeFlexible hours$92.5k - $115.5k
...policies governing personal trading, gifts and entertainment,... ...exceptions to business and Compliance management along with supporting... ...Ethics. Conduct targeted investigations in connection with special... ...issues uncovered in daily surveillance. Act as administrator and systems...SurveillancePermanent employmentTemporary workWork at officeFlexible hours$260k - $365k
...An elite, global law firm is seeking a mid-level associate to join its Investigations, Compliance & Defense Practice in Chicago. Ideal candidates will have 3–5 years of relevant experience, though current 2026 judicial clerks will also be considered. The firm offers a...$260k
...Permanents Placements LLC is seeking a mid-level associate for its Investigations, Compliance & Defense Practice in Chicago. Ideal candidates will have 3–5 years of relevant experience, with a focus on investigations and compliance. The firm promotes a collaborative environment...Permanent employment$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... ...maintaining the data infrastructure that powers our trade surveillance, investigations, and regulatory reporting programs. You'll work...SurveillanceWork at officeFlexible hours$100k - $110k
...Inc. ("IBKR") is recruiting for a Trade Surveillance Compliance Manager at its Chicago office. The... ...surveillance alerts and conducting ad hoc investigations related to trade practice... ...direction to team members. Evaluate risk associated with AML and Financial Crime Risk...SurveillanceWork at officeRemote work- ...Huron Consulting Group is seeking a Consultant to provide trade surveillance and clear trade alerts for various securities. This role requires broker/dealer experience and proficiency with alert clearing tools. The ideal candidate will manage a high volume of alerts and...Surveillance
- ...Huron Consulting Group Inc. is seeking a Consultant for Trade Surveillance in Chicago, offering a hybrid work schedule. This role involves conducting daily surveillance, addressing compliance issues, and escalating potential violations. The ideal candidate will have experience...Surveillance
- ...Chicago. This role focuses on auditing US import documents and ensuring compliance with customs regulations, making it ideal for recent graduates eager to start their careers in business, logistics, or trade. You'll collaborate with various internal teams and external...
- ...Tastyworks, based in Chicago, is seeking a HeadofTrade Surveillance and Best Execution to lead initiatives ensuring trades are supervised, executed fairly, and reported accurately. You will oversee the end-to-end best execution program in a hybrid work environment. Ideal...Surveillance
- ...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... ...2-5 years of experience, particularly in Trade Surveillance, along with a strong...Surveillance
- J T Becker & Co Inc is looking for skilled Field Investigators to join their team in Chicago, Illinois. This position offers flexible... ...ideal candidate will conduct various investigations, including surveillance and SIU assignments, ensuring confidentiality and timely...SurveillanceFlexible hours
- ...visit chicagoatlantic.com. Our company is seeking a Compliance Analyst with up to three years of relevant experience working... ...monitoring and testing activities, including personal trading surveillance, restricted list monitoring, gifts and entertainment tracking...SurveillanceWork at office
$30 - $35 per hour
...A global financial services firm is hiring a Trade Surveillance Analyst for their Chicago office. This entry-level position offers great growth potential and requires 1-3 years of regulatory compliance experience. Responsibilities include conducting account activity reviews...SurveillanceHourly payWork at officeRemote work- ...Becker & Company is seeking skilled and experienced Field Investigators to join our team on an "as needed" basis. This role is perfect... ...candidate will conduct a variety of investigations, including Surveillance and Special Investigations Unit (SIU) assignments, within an...SurveillanceFlexible hours
- ...is partnered with a technology-driven trading and investment firm operating across multiple... .... The firm are seeking a trading compliance specialist that will act as a key advisor... ...Design, maintain, and enhance trade-surveillance controls to detect unusual patterns and...SurveillanceWorldwide
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