Broker Dealer Compliance Jobs in Chicago, IL

Larson Maddox - Chicago, IL, United States

We are seeking a seasoned Global Compliance Officer with over 10 years of demonstrated expertise in the financial services industry, specializing in Futures Commission Merchants (FCMs) and Broker

from: linkedin.com - 4 days ago

Phaxis - Chicago, IL, United States

in Financial Services Current or previous experience at a broker dealer Proficiency in MS Office tools (Excel, Access, Word, PowerPoint) with the ability to streamline data and standardize risk reporting GRC

from: linkedin.com - 11 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 (+1 source) - 17 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 - 19 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 (+1 source) - 17 days ago

Bernardi Securities, Inc. - Northfield, IL, United States

Bernardi Securities, Inc. /Bernardi Asset Management – Compliance Operations Analyst Location: Northfield, IL Firm description: Bernardi Securities, Inc. (BSI) is a broker-dealer, specializing

from: linkedin.com - 7 days ago