6 Broker Dealer Compliance Jobs in Chicago, IL
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Global Chief Compliance Officer 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 4 days ago
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Operational Risk Associate 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 11 days ago
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Audit Manager 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 17 days ago
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Broker Dealer Accountant 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 19 days ago
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Audit Senior 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 17 days ago
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Compliance Operations Analyst 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 7 days ago
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