Broker Dealer Compliance Jobs in Bolingbrook, IL

Simmons & Hanbury - Chicago, IL, United States

to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework. Review the Compliance Monitoring Plan and the controls in place to assess

from: linkedin.com - 5 days ago

Larson Maddox - Chicago, IL, United States

will bring 7-10 years of relevant compliance experience at a broker dealer. Key Responsibilities: Be the main contact for business management, regulators and external/internal auditors, dealing with a broad

from: linkedin.com - 19 days ago

Hire Resolve - Chicago, Illinois

of auditors, providing guidance and support throughout the audit process Stay up-to-date with relevant regulations and industry developments to ensure compliance Must have great experience in Broker-Dealer

from: resume-library.com - 18 days ago

Phillip Capital Inc. - Chicago, IL, United States

will be responsible for maintaining accurate financial records and reporting within a broker-dealer firm. This role involves working closely with various departments, such as trading, operations, and compliance

from: linkedin.com - 24 days ago

Hire Resolve - Chicago, Illinois

. Ensures compliance with regulations and quality standards. Prepares audit reports and financial statements.\ Great knowledge of broker-dealer audits Requirements Bachelor's degree in Accounting or related

from: resume-library.com - 18 days ago