Compliance Officer
Rutherford Search
About the job Rutherford is partnered with a technology-driven trading and investment firm operating across multiple asset classes on leading exchanges worldwide. The firm are seeking a trading compliance specialist that will act as a key advisor to the business and manage exchange relationships. Key responsibilities
- Monitor and interpret US exchange rules, SEC/CFTC guidance, and exchange circulars to keep the firm's activities compliant and well-aligned with evolving expectations.
- Design, maintain, and enhance trade-surveillance controls to detect unusual patterns and escalate potential issues promptly.
- Partner with operations, trading, and technology teams to ensure exchange reporting and membership obligations are consistently met.
- Support expansion of exchange memberships in line with strategic growth plans (for example, Chicago-based initiatives), providing compliance input during onboarding and ongoing membership reviews.
- Serve as an internal subject-matter expert on US exchange regulations - offering timely, practical compliance advice to front-office and support functions.
- Liaise with regulators, exchanges, and external counsel as needed to respond to inquiries or prepare filings.
- Proven experience in a compliance/surveillance within a trading, brokerage, or exchange environment.
- Strong grasp of US exchange rulebooks, membership obligations, reporting standards, and surveillance practices.
- Comfort translating regulations into clear operational guidance for non-compliance colleagues.
- Excellent stakeholder-management skills-able to collaborate with cross-functional teams and influence decision-makers.
- Detail-oriented, proactive, and adaptable in a fast-moving trading environment.
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Compliance Officer in Chicago, IL vacancy
- ...and information requests, assign regulatory inquiries/request to compliance staff, review and analyze requests for potential compliance... ...on the compliance risks and issues to local, regional, and head office management. The staff provide the business lines with guidance...SuggestedWork at officeLocal area
$71k - $125k
...Location: 4910 Tiedeman Road, Brooklyn Ohio About the Job The Home Lending Compliance Officer will be a member of the Home Lending Compliance team within Compliance Risk Management. They will provide support to the Mortgage and Home Equity Origination lines of...SuggestedWork at officeFlexible hoursKey Bank
Chicago, IL1 day ago$56.7k - $97.2k
...a thorough background check on all new hires. Role Summary Serve as a technical resource for qualified retirement plan compliance, helping colleagues and clients understand plan rules, regulations, amendments, corrections, and complex eligibility issues. Partner...SuggestedAssociated Banc-Corp
Berwyn, IL4 days ago- ...M&T Bank Corporation is looking for a Compliance and Operational Risk Senior Advisor based in Chicago, IL. This hybrid role involves leading compliance and operational risk management activities and working closely with senior leadership to ensure adherence to regulations...Suggested
M&T Bank
Chicago, IL4 days ago $163k - $204k
...companies, through internal and external managers. The Investments Compliance team provides compliance and regulatory support to AIG’s... ...insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program.Review...SuggestedFull timeWork at office$107k - $160k
...SummaryThis role will be responsible for leading and overseeing the compliance efforts of third-party programs, including Banking-as-a-... ...relationships), throughout the life cycle of the programs. The Compliance Officer-Fintech Services will report to the Fintech Services Manager...Full timeContract workTemporary workWork at officeLocal area$92.5k - $115.5k
...interest, and certifications. Escalate exceptions to business and Compliance management along with supporting documentation. Work to... ...This position requires the physical capabilities to work in an office environment, which may include prolonged periods of sitting at...Permanent employmentTemporary workWork at officeFlexible hoursCI Financial Careers
Chicago, IL1 day ago$92.5k - $115.5k
...interest, and certifications. Escalate exceptions to business and Compliance management along with supporting documentation. Work to improve... ...This position requires the physical capabilities to work in an office environment, including prolonged periods of sitting at a desk...Permanent employmentTemporary workWork at officeFlexible hoursCorient Services LLC
Chicago, IL1 day ago$71k - $125k
...Location: 4910 Tiedeman Road, Brooklyn Ohio About the Job The Compliance Officer will be a member of the Consumer Lending Servicing Compliance team within Compliance Risk Management. The Compliance Officer will provide support to various lines of business by researching...Work experience placementWork at officeFlexible hoursNight shiftKey Bank
Chicago, IL4 days ago- ...A leading wealth management firm in Chicago seeks a Senior Compliance Officer to enhance compliance frameworks and governance. The role involves overseeing compliance documents, training staff on regulatory changes, and managing compliance programs. Ideal candidates will...
Corient
Chicago, IL4 days ago - ...Blue-Cross-Blue-Shield-Association in Chicago is hiring a Compliance Lead for Government Programs. This senior role involves driving compliance functions in Medicare Advantage and Part D operations. The ideal candidate will have over 7 years of experience and deep knowledge...
Blue Cross Blue Shield companies
Chicago, IL4 days ago - ...service, and disciplined risk management. Everything we build is Trader-Inspired. About the Role We are seeking an experienced Compliance Officer to lead and manage EdgeClear’s compliance program across our brokerage and fintech operations. This role is responsible for...
EdgeClear
Chicago, IL3 days ago - ...for each position which interests you.This position is exempt from Career Service under the CCH Personnel Rules.Job SummaryThe Compliance Officer reflects the mission and vision of Cook County Health (CCH) adheres to the organization’s Code of Conduct and Corporate...Part time
Cook County Sheriff
Chicago, IL1 day ago $120k - $180k
...Department: Compliance Reports To: Chief Compliance Officer, Tastytrade Employment Type: Full-Time Salary : $120,000-$180,000 Asan AML Compliance Officer ("AMLCO"), you will play a critical role in ensuring compliance with anti-money laundering regulations...Full timeWork at officetastytrade
Chicago, IL5 days ago- Lead development and execution of AML policies, risk assessments, and investigations across equities, options, futures, crypto and event contracts. Oversee AML monitoring, trade surveillance, KYT, SARs and 314(a)/(b) reporting, regulatory examinations, CDD/EDD efforts,...H1b
PVH (Tommy Hilfiger/Calvin Klein)
Chicago, IL4 days ago $35k - $48k
...Education Required: BA/BS US Citizenship: Required Summary The MIL Corporation seeks a Junior Compliance Officer (Operations, Jr. Analyst) to support a federal law enforcement client with I-9 audit support services and worksite enforcement...Full timeContract workFor contractorsWork at officeRemote workWeekend workThe MIL Corporation
Chicago, IL1 day ago- ...and PAC Cards; return terminated credentials to the Security Officer for destruction Credentialing Specialists shall keep a log... ...complete required online credentialing training and maintain compliance with PIV-II SmartID credential requirements. Knowledge of ICAM...Full timeContract workTemporary workFor contractorsLocal areaRelocationShift workNight shiftWeekend work
Armada
Chicago, IL3 days ago - ...Regulatory Affairs Level III (Senior Specialist) position is responsible for global product registrations and ensuring regulatory compliance in the design, manufacturing, and sales of medical devices (including Class I and II devices, software as a medical device, and...
- LIS Solutions is looking for a Junior Compliance Officer to work with the Department of Homeland Security. The position involves data entry, conducting database queries, and supporting I-9 audits. Candidates must have at least an Associate's degree and be detail-oriented...Work at office
$96.7k - $148.1k
Job Description Position Summary: The Senior Risk and Compliance Analyst is a key member of the IT Governance, Risk, and Compliance (GRC... ...of time Primary work environment is professional corporate office Ability to travel commercially and internationally. #LI-JV1...Minimum wageFull timeWork at officeRemote workShift work- Job-ID32200182Reference26-00335Compliance Analyst As a CLE Compliance Analyst II, you will play a key role within the Risk Management Compliance... ...closely with colleagues across Risk Management and the Office of the General Counsel. You will help track attorney compliance...Work at office
- ...in a flexible hybrid environment with work-life balance.Job DescriptionCompliance Associate OverviewThe Compliance Associate will support compliance and back-office operations for a dynamic investment firm specializing in energy and infrastructure.Assist with compliance...Flexible hours
- ...Junior Compliance Officer/Auditor SGI Global is seeking qualified Junior Compliance Officer to support a federal law enforcement client with I-9 audit support services and worksite enforcement compliance activities. The role assists in reviewing employment eligibility...Contract workFor contractorsLocal areaRemote workWeekend work
SGI Global
Chicago, IL4 days ago $80k - $85k
...commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed... ...processes and implement game-changing policies.Position Purpose: The Compliance Analyst II supports the firm’s employee and Introducing Broker...Work at office$86k - $126k
Eaton Electrical Division is seeking a Trade Compliance Analyst to lead Trade Agreements Act (TAA) and Country of Origin (COO) compliance... ..., and related accessories. This role will be hybrid (3 days in office / 2 days in home office).This role serves as the technical authority...H1bWork at officeLocal areaRelocationHome officeVisa sponsorship$90k - $121.3k
...and client-focused company that is firmly rooted in its core values.ResponsibilitiesWe are currently seeking a Senior Compliance Advisory Services Officer who will serve as the primary Compliance Department point of contact for assigned lines of business and/or...Work experience placementWork at office- ...Governance, Risk & Compliance (GRC) Analyst (AI Training) About the Role We partner with the world's leading AI research labs to build smarter, safer AI systems - and we need practitioners who know how compliance and risk management actually work in the real...Hourly payOngoing contractContract workFreelanceRemote workWorldwideFlexible hours
Alignerr
Chicago, IL4 days ago $89k - $105k
...service conveniently at their fingertips, anytime and anywhere. The Compliance Specialist will help create and champion a culture of... ...our New York, Chicago, Westlake, TX, Denver, and Menlo Park, CA office(s), with in-person attendance expected at least 3 days per week...Work at officeFlexible hoursShift work3 days per week$24 - $28 per hour
...About the Job: We are actively hiring a Regulatory Compliance Specialist at our Andersonville, Chicago, IL site. Shift:... ...submission to the IRB, sponsors and state or federal regulatory offices as necessary. Compile study information and submit initial,...Hourly payFull timeContract workCasual workWork at officeLocal areaMonday to FridayFlexible hoursShift workDay shiftAfternoon shiftFlourish Research
Chicago, IL1 day ago- Player error The player is having trouble. We’ll have it back up and running as soon as possible. Patron Commissioned by Count Jan and Countess Valeria Tarnowski Hours: Sunday–Tuesday and Thursday: 10 am–5 pm Extended Hours: Friday and Saturday: 10 am–9 pm Closed Thanksgiving...Immediate startWeekend workDay shiftAfternoon shift
100 The Metropolitan Museum of Art
Chicago, IL5 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Officer. Be the first to apply!
Related searches
- compliance analyst Chicago, IL
- regulatory compliance analyst Chicago, IL
- coding compliance specialist Chicago, IL
- compliance associate Chicago, IL
- regulatory compliance specialist Chicago, IL
- regulatory affairs specialist Chicago, IL
- compliance consultant Chicago, IL
- senior compliance officer Chicago, IL
- senior compliance analyst Chicago, IL
- information security compliance analyst Chicago, IL