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75

Broker Dealer Compliance Jobs





Job info
 
Company
Interactive Brokers Group, Inc.
Location
Greenwich, CT
Posted Date
Apr 15, 2022
Info Source
Employer  - Full-Time  90  

... is looking to hire a Compliance Analyst at the Chicago or ... to the Financial Advisor (“FA”) Compliance Team Lead and will assist ... of the firm’s financial advisor..

 
Company
**********
Location
Greenwich, CT
Posted Date
May 06, 2022
Info Source
Employer  - Full-Time  90  

... for a motivated and talented compliance analyst who is familiar with ... experience in regulatory exam management, compliance testing, and policy management. Responsibilities ... policy management. Responsibilities The Sr...

 
Company
**********
Location
Chicago, IL
Posted Date
May 14, 2022
Info Source
Employer  - Full-Time  90  

... is looking to hire a Compliance Analyst at the Chicago Office. ... Analysts will report to a Compliance Team Lead and will assist ... candidate will have some regulatory..

 
Company
**********
Location
Chicago, IL
Posted Date
Jun 17, 2022
Info Source
Employer  - Full-Time  90  

... is looking to hire a Compliance Analyst at the Chicago Office. ... Analysts will report to a Compliance Manager and will assist with ... candidate will have some regulatory..

 
Company
**********
Location
Greenwich, CT
Posted Date
Aug 27, 2022
Info Source
Employer  - Full-Time  90  

... and commodities, and experience with compliance, internal controls and risk management. ... risk management. Responsibilities The Senior Compliance Analyst’s primary focus will be ... focus will be to: Support..

 
Company
Interactive Brokers Group, Inc.
Location
Chicago, IL
Posted Date
Feb 12, 2023
Info Source
Employer  - Full-Time  90  

... Brokers is looking to hire Compliance Sanctions Testing Analysts for a ... considered. Analysts will report to Compliance Managers from Sanctions and Quality ... area for testing of Sanctions..

 
Company
Interactive Brokers Group, Inc.
Location
Chicago, IL
Posted Date
Feb 02, 2023
Info Source
Employer  - Full-Time  90  

... is looking to hire a Compliance Analyst in our Trade Surveillance ... Analysts will report to a Compliance Manager and will assist with ... will have 2-5 years regulatory..

 
Company
**********
Location
Chicago, IL
Posted Date
Dec 02, 2022
Info Source
Employer  - Full-Time  90  

... Brokers is looking to hire Compliance Analysts for a temp project. ... Analysts will report to a Compliance Team Lead and help ensure ... candidate will have some regulatory..

 
Company
**********
Location
Chicago, IL
Posted Date
May 18, 2022
Info Source
Employer  - Full-Time  90  

... for a motivated and talented compliance officer who is familiar with ... foreign exchange activity. Responsibilities: The Compliance Officer – Forex and Commodities ... will be responsible for: Providing..

 
Company
**********
Location
Greenwich, CT
Posted Date
Feb 11, 2023
Info Source
Employer  - Full-Time  90  

... Brokers is looking to hire Compliance Sanctions Testing Analysts for a ... considered. Analysts will report to Compliance Managers from Sanctions and Quality ... area for testing of Sanctions..

 
Company
Interactive Brokers Group, Inc.
Location
Washington, DC
Posted Date
Feb 12, 2023
Info Source
Employer  - Full-Time  90  

... Brokers is looking to hire Compliance Sanctions Testing Analysts for a ... considered. Analysts will report to Compliance Managers from Sanctions and Quality ... area for testing of Sanctions..

 
Company
Interactive Brokers Group, Inc.
Location
Chicago, IL
Posted Date
Nov 27, 2022
Info Source
Employer  - Full-Time  90  

... Brokers is looking to hire Compliance Analysts at the Chicago Office. ... Analysts will report to a Compliance Team Lead and will assist ... candidate will have some regulatory..

 
Company
**********
Location
Greenwich, CT
Posted Date
Aug 26, 2022
Info Source
Employer  - Full-Time  90  

... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The Compliance Officer’s primary focus will be ... focus will be to: Provide..

 
Company
Interactive Brokers Group, Inc.
Location
Chicago, IL
Posted Date
Feb 02, 2023
Info Source
Employer  - Full-Time  90  

... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The Compliance Officer’s primary focus will be ... focus will be to: Provide..

 
Company
Interactive Brokers Group, Inc.
Location
Chicago, IL
Posted Date
Dec 19, 2022
Info Source
Employer  - Full-Time  90  

... Brokers is looking to hire Compliance Analysts for a temp project. ... Analysts will report to a Compliance Team Lead and help ensure ... candidate will have some regulatory..

 
Company
**********
Location
Chicago, IL
Posted Date
May 19, 2022
Info Source
Employer  - Full-Time  90  

... hire a full-time Quality Assurance Compliance Analyst at the Chicago office ... report to a Quality Assurance Compliance Manager in our Chicago office ... candidate will have some regulatory..

 
Company
**********
Location
Chicago, IL
Posted Date
Jan 19, 2023
Info Source
Employer  - Full-Time  90  

... Governance efforts. Responsibilities The Senior Compliance Data Analyst’s primary focus will ... focus on data leveraged by Compliance Collaborate with technical and business ... destination data maps for AML..

 
Company
**********
Location
Chicago, IL
Posted Date
Jun 25, 2022
Info Source
Employer  - Full-Time  90  

... to hire a Trade Surveillance Compliance Manager at its Chicago Office. ... motivated and exceptional performers. The Compliance Manager will report to the ... Engage senior management across corporate..

 
Company
**********
Location
Greenwich, CT
Posted Date
Mar 01, 2023
Info Source
Employer  - Full-Time  90  

... is a direct access electronic broker serving professional and frequent traders, ... seeks a motivated and talented compliance officer familiar with electronic trading ... will be the firm’s lead..

 
Company
Interactive Brokers Group, Inc.
Location
Chicago, IL
Posted Date
Feb 02, 2023
Info Source
Employer  - Full-Time  90  

... motivated, IT audit, risk or compliance professional with experience working in ... regulated environment. Responsibilities The Senior Compliance Analyst’s primary focus will be ... focus will be to: Support..

 
Company
Interactive Brokers Group, Inc.
Location
Chicago, IL
Posted Date
Feb 12, 2023
Info Source
Employer  - Full-Time  90  

... Brokers is looking to hire Compliance Sanctions Testing Analysts for a ... position. Analysts will report to Compliance Managers from Sanctions and Quality ... area for testing of Sanctions..

 
Company
**********
Location
Greenwich, CT
Posted Date
Aug 26, 2022
Info Source
Employer  - Full-Time  90  

... Governance efforts. Responsibilities The Senior Compliance Data Analyst’s primary focus will ... focus on data leveraged by Compliance Collaborate with technical and business ... destination data maps for AML..

 
Company
**********
Location
Chicago, IL
Posted Date
Jan 28, 2023
Info Source
Employer  - Full-Time  90  

... looking to hire a Senior Compliance Analyst in the EDD team ... Analysts will report to a Compliance Manager in our Chicago office ... candidate will have some regulatory..

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