6 Broker Dealer Compliance Jobs in Illinois
-
Director of Compliance 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 5 days ago
-
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 10 days ago
-
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 4 days ago
-
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 27 days ago
- Forum: Start a Discussion Join
-
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 4 days ago
-
Investment Plan Serv Analyst State Farm - Bloomington, Illinois job experience) Develops creditability and collaborative relationships in Broker Dealer operations, Regulatory Compliance and with business partners. Actively seeks input on critical decisions to achieve buy 19 days ago
Top locations