5 Broker Dealer Compliance Jobs in Northfield, IL
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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 4 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 9 days ago
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Audit Manager Hire Resolve - Chicago, IL 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 120,000 - 160,000 More than 30 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 26 days ago
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Audit Senior Hire Resolve - Chicago, IL . 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 90,000 - 110,000 More than 30 days ago
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