Compliance Officer Trade Monitoring jobs - Chicago, IL
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| Apr 22 | Compliance - Alternative Investments | Compliance Search Group | Chicago, IL |
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The position will report into the Chief Compliance Officer. The Compliance ... including surveillance, testing, monitoring, regulatory filings, interactions... more |
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| Apr 22 | Deputy Chief Regulatory Officer | Compliance Search Group | Chicago, IL |
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officer to assist the Chief Regulatory Officer in the administration of the ... the following regulatory functions: Monitoring Exchange Trading Permit Holder... more |
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| Jan 17 | Chief Compliance Officer | Financial Services Firm | Chicago, IL |
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expedite automation. -Manage compliance and monitoring issues regarding personal trading ... -Series 14 preferred. Jobs, Chicago, Chief Compliance Officer, Compliance, Regulations,... more |
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| May 24 | PMO Resource Manager - Technical Project Management job | Citigroup | Elk Grove Village, IL |
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and practices as outlined by GCT Ensures non-compliance items are monitored for closure and that projects successfully pass audit Serves as the escalation point for their staff on... more |
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| May 23 | Credit Officer II | Fifth Third Bank | Chicago, IL |
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Provides guidance where necessary to ensure compliance with standards. * Attends various ... conduit for information to the Senior Credit Officer. * Represents Bancorp in terms of... more |
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| May 20 | Business Risk Specialist (Control Officer) | UBS | Chicago, IL |
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You will be responsible for managing Compliance, Legal and Regulatory Matters: ... management guidelines and policies Ensure compliance with legal and regulatory... more |
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| May 18 | Compliance Examiner/Privacy Specialist | Advocate Health Care Network | Oak Brook, IL |
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assist the Site Compliance Officers with compliance-related investigations, and assist ... of the Site Compliance Officers, conducts compliance-related investigations and risk... more |
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| May 09 | Securities Regulatory & Compliance Senior Consultant | Deloitte | Chicago, IL |
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Supervisory Policies and Procedures -CEO Compliance Certification Requirements Prior ... -Corporate Actions -Margin -Dividends -Trade Support -Clearance/Settlement and... more |
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| May 09 | Securities Regulatory & Compliance Senior Consultant | Deloitte Development | Chicago, IL |
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Supervisory Policies and Procedures -CEO Compliance Certification Requirements Prior ... -Corporate Actions -Margin -Dividends -Trade Support -Clearance/Settlement and... more |
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| May 07 | Chief Compliance Officer | US Global Investors | Chicago, IL |
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Chief Compliance Officer U.S. Global Investors is looking for a Chief Compliance Officer ... personnel. Manage compliance staff. Chief Compliance Officer Working knowledge of... more |
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| May 02 | Compliance Analyst | Infinity Futures | Chicago, IL |
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Job Requirements: * 1 year or more of Compliance/Regulatory/Internal Audit experience in ... Prior experience as a compliance officer with an Introducing Broker, NFA and/or CFTC prefe... more |
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| Apr 20 | Compliance Officer | Chicago, IL | |
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continuing education Monitor and document trade flow, order routing/execution and trade ... compliance training programs Assist in the monitoring of the firms personal trading... more |
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| Apr 19 | Windows Trading Systems Administrator | Axiom Technology Group | Chicago, IL |
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an assigned trading team through effective monitoring configuring troubleshooting and ... on a daily basis with traders risk analysts compliance officers and drive innovation with... more |
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| Apr 16 | Compliance Officer | Robert Half Finance & Accounting | Chicago, IL |
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Compliance Officer Job Description Manage the securities registration process for the firm ... compliance training programs Assist in the monitoring of the firms personal trading... more |
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| Apr 12 | Compliance Officer | INVESCO | Chicago, IL |
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Investment guidelines to maintain evergreen Compliance environment; build, test, ... develop, coordinate, and implement various compliance monitoring activities, ongoing... more |
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| Apr 09 | Associate Compliance Officer | MoneyGram International | Chicago, IL |
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around us. The Associate Compliance Officer is a primary compliance resource ... are being met. The Associate Compliance Officer will escalate issues and... more |
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| Mar 27 | Advocate Chief Privacy Officer | Advocate Health Care Network | Oak Brook, IL |
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Compliance Officers. D. The Chief Privacy Officer participates in Corporate Compliance ... Chief Compliance Officer in overseeing and monitoring various aspects of Advocates... more |
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| Mar 26 | Compliance Analyst - Trading Firm | Michael Page International | Chicago, IL |
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team and work along side the Chief Compliance Officer as well as communicate ... potential compliance problems Assist with compliance and monitoring issues regarding... more |
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| Mar 07 | Chief Compliance Officer | Michael Page International | Chicago, IL |
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The Chief Compliance Officer will have general oversight of the compliance team along with ... potential compliance problems Manage compliance and monitoring issues regarding... more |
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| Feb 03 | Compliance Officer (Trade Monitoring) | Newedge | Chicago, IL |
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JOB DESCRIPTION: Compliance Officer (Trade Monitoring) DEPARTMENT: ... JOB TITLE: Compliance Officer (Trade Monitoring)... more |
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| Jan 05 | Managing Director, Global Chief Compliance Officer | Chicago Mercantile Exchange | Chicago, IL |
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the development, implementation and monitoring of protocols to remedy compliance ... and monitoring of protocols to self-disclose compliance violations as required and/or... more |
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| Dec 13 | Retail Broker Dealer Compliance Officer | Compliance Search Group | Chicago, IL |
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trade surveillance, monitoring & testing and compliance training. Requirements: Degree ... Lane at MLane@compliancesearch.com The Compliance Search Group is the oldest,... more |
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| Nov 14 | Chief Compliance Officer | CPS | Chicago, IL |
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company located in Chicago. The Compliance Officer will handle SEC and FINRA regulations ... for ongoing forensic testing and compliance monitoring of policies and... more |
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| Sep 29 | Sr. Manager Trade Operations & Compliance | Motorola | Schaumburg, IL |
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chain operations. This position will provide trade compliance policy and process ... within the organization to drive trade compliance process changes and support... more |
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| Jan 14 | Loss Prevention Officer | Kohl's | Burbank, IL |
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when prevention is not effective Assists in monitoring Store compliance with Company policies and procedures on theft deterrence, safety, and operational controls Implements and... more |
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