Regulatory Compliance & Surveillance Analyst
StoneX Group Inc.
StoneX Group Inc. is seeking a Compliance Analyst to support ongoing monitoring and surveillance, ensuring regulatory obligations are met by internal and external partners. The role emphasizes automated trade practice surveillance and awareness of CFTC, NFA and exchange rules. Primary duties include analyzing trading activity for unusual patterns, developing monitoring methodologies, communicating findings, and documenting compliance actions. #J-18808-Ljbffr StoneX Group Inc.
$88k - $110k
...THIS ROLE The role of the Senior Compliance Analyst is to work collaboratively with other... ...with SEC and broker-dealer regulatory compliance requirements, options trading... ...situations in the future. Oversee existing surveillance and enhance as appropriate; establish...SurveillanceRemote work2 days per week$80k - $85k
...Compliance Analyst Connecting clients to markets – and talent to opportunity. With 5,400+ employees and over 80,000 institutional... ...will support various ongoing monitoring and surveillance functions to ensure regulatory obligations are met by internal and external...Surveillance- ...Interim Chief Regulatory & Chief Compliance Officer (CCO) About the Company A new CFTC-regulated exchange offering a novel type of security... ...role also involves leading and administering the Market Surveillance and Compliance Department. The ideal candidate should...SurveillancePermanent employmentTemporary workInterim roleRemote work
- ...Consultants to help administer each client’s compliance program. These individuals will conduct... ...in the administration of written regulatory programs. Candidates seeking employment... ..., including electronic communications surveillance Assist with the preparation of regulatory...SurveillanceWork at office
$65k - $120k
Compliance, Private Wealth Management (PWM) Compliance, Associate, Chicago Chicago, IL, United... ..., detects and mitigates compliance, regulatory and reputational risk across the firm... ...Responsibilities Monitoring and conducting surveillances focusing on compliance with regulatory...Surveillance$85k - $100k
...5,000 - $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'll work closely with the...SurveillanceWork at officeFlexible hours$65k - $120k
Overview Our division prevents, detects and mitigates compliance, regulatory, and reputational risk across the firm and helps to strengthen... ...Primary responsibilities include: Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal...SurveillanceFull timeTemporary workPart timeWork at office- ...4.00 - $33.00 per hour • Day Shift Our Compliance Associate role offers a unique opportunity... ...while gaining hands‑on exposure to regulatory oversight, compliance testing, audits,... ...Perform testing and audits to support the surveillance of the firm’s compliance policies...SurveillanceHourly payFull timeSummer workFlexible hoursDay shift
$100k - $175k
The Compliance Specialist will be involved in various aspects of an ever‑changing regulatory landscape within the Compliance Team of a global asset management firm. This individual... ...with annual compliance testing and surveillances, including the use of the Firm’s trade...SurveillanceWork at office- Group One Trading is hiring a Compliance Data Analyst in Chicago, IL. This position involves building data infrastructures for compliance tasks... ...and SQL. The ideal candidate will design tools for trade surveillance and enhance detection systems while providing quantitative...Surveillance
- ...chicagoatlantic.com. Our company is seeking a Compliance Analyst with up to three years of relevant... ...) comply with applicable legal and regulatory requirements. What You'll be Doing... ..., including personal trading surveillance, restricted list monitoring, gifts and...SurveillanceWork at office
$90k - $115k
As a Compliance Surveillance Analyst, you'll help strengthen Optiver's compliance and surveillance capabilities by identifying regulatory and market conduct risks in a technology-driven trading environment. Through data-driven analysis and close collaboration across the...SurveillanceFull timeWork at office- ...leading exchanges worldwide. The firm are seeking a trading compliance specialist that will act as a key advisor to the business and... ...evolving expectations. Design, maintain, and enhance trade-surveillance controls to detect unusual patterns and escalate potential issues...SurveillanceWorldwide
- 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 with 2-5 years of experience, particularly in Trade Surveillance, along with a strong understanding...Surveillance
$75k - $90k
...0,000 Group One Trading is seeking a Compliance Associate to support the day-to-day operations... ...Department, with a focus on trade surveillance, investigation support, and... ...documentation repositories Support routine regulatory reporting and data submissions Assist...SurveillanceInternshipWork at officeFlexible hours$75k - $90k
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...Surveillance- ...value-added integrated financial solutions. The SG Americas Compliance department acts as Second Line of Defense of the corporate banking... .... Additionally, it conducts trade and communications surveillance, and manages transversal support functions that help the Department...SurveillanceWork at officeLocal area
$92.5k - $115.5k
...certifications. Escalate exceptions to business and Compliance management along with supporting... ...related to issues uncovered in daily surveillance. Act as administrator and systems... ...related role. A strong understanding of regulatory requirements and industry standards (e....SurveillancePermanent employmentTemporary workWork at officeFlexible hours$90k - $100k
...adviser (RIA). Your Future Team Hightower’s Compliance Department strives to provide industry-... ...strong understanding of the differing regulatory obligations applicable to broker-... ...monitoring alerts, exception reports, and surveillance outputs related to broker-dealer...SurveillancePermanent employmentWork at officeLocal areaFlexible hours$65k - $70k
...Position Purpose The Compliance Analyst II supports the firm’s employee and Introducing Broker (IB) compliance programs by administering applicable regulatory and internal compliance requirements. This role is responsible for ensuring accurate registration, recordkeeping...Work at office- SGS Société Générale de Surveillance SA in Chicago is seeking a dedicated support person for a six to twelve month program with potential for full-time employment. Responsibilities include verification, assisting with audits, and participating in change management projects...SurveillanceFull time
$113.1k - $133.7k
...About the Team / Role Reporting to the Director, Corporate Compliance, the Regulatory Compliance Analyst 4 will assist with the coordination and integration of Corporate Compliance activities to meet all relevant requirements, ensuring compliance and alignment with...Remote workFlexible hours$142.71k - $215.44k
...(OLAMST) Fuel Oil Chemistry Reactor Vessel Material Surveillance One-Time Inspection Selective Leaching ASME Code Class... ...best practices. Collaborate with engineering and regulatory teams to ensure compliance with NRC regulations and license extension commitments...SurveillanceHourly payWork at officeLocal areaFlexible hours3 days per week- ...hired full time. The position acts as a support person in the Regulatory Reporting, Delivery and Change Management departments. Day‑to... ..., and other benefits for fertility, wellness, student loans, and commuters. #J-18808-Ljbffr SGS Société Générale de Surveillance SASurveillanceFull timeInternshipWork at officeLocal area
$65k - $75k
Job Summary & Responsibilities The Compliance Analyst will report to the Financial Crimes Manager in the Compliance and Risk Management Department... ...and analysis in support of Inspira’s BSA/AML and other regulatory compliance policies and programs including investigating...Remote jobWork at officeImmediate startMonday to Friday- ...Company is seeking a Vice President of Drug Safety to lead the global strategy and execution of all safety surveillance, risk management, and regulatory compliance activities across the product lifecycle. The successful candidate will be responsible for defining and...Surveillance
$70k - $95k
...Job Description Job Description We are seeking an experienced Regulatory Compliance Professional to join our Compliance Team!! The Senior Regulatory Compliance Analyst is a compliance professional with a vast experience in personal & commercial auto and general liability...Work experience placementWork at officeShift work- Interactive Brokers is seeking a Trade Surveillance Analyst for a hybrid role in Chicago,... ...entry-level position, reported to a Compliance Manager, involves ensuring compliance... ...candidates will possess 1-3 years in regulatory compliance, strong analytical skills,...Surveillance
$51.7k - $101.5k
...that is firmly rooted in its core values. Responsibilities The Compliance Testing Analyst is part of our Risk department. They are responsible for conducting compliance control testing activities for regulatory compliance requirements applicable to Old National lines of...Work at office$65k - $70k
StoneX Group is seeking a Compliance Analyst II to support compliance programs for employees and Introducing Brokers. This role involves ensuring accurate registration and oversight in line with regulatory requirements. The ideal candidate has a Bachelor’s degree and 3-...
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