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A successful candidate will have experience managing the administration & tactical operations of company-owned, leased, and rented vehicle assets as well as compliance of the authorized employees who operate them.
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Juris Doctor (J.D.) degree from an accredited school of law and licensed to practice law in the State of Illinois, plus one (1) year of experience as a practicing attorney or one (1) year of experience was spent in compliance/ethics, policy, risk management, FOIA or an equivalent combination of education and experience.
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Candidate must have compliance advisory experience with background in electronic trading, some Municipality Securities or Fixed Income experience also a plus. This role will support the integration of a newly acquired quantitative trading Firm by TD Securities (USA) LLC into the overall Compliance Framework.
$190,000 - $250,000 a yearFull-timeExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Professional Certification such as Certified Operational Risk Professional (CORP), Certified in Risk and Information Systems Control (CRISC) or Certification in Risk Management Assurance (CRMA) are a plus.
$101,000 - $167,200 a yearFull-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Any of the following certifications are a plus: CAMS, CRCM, CCEP, CFCS, CCBCO. A mid sized bank is looking to add a Chief Compliance Officer to the team! Supervise Community Reinvestment Act (CRA) and Fair Lending programs to ensure compliance with consumer affairs regulations and promote our brand in the communities we serve.
$200,000 - $240,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Experience in Municipality Securities or Fixed Income is also a plus! This role requires a candidate with compliance advisory experience, ideally with a background in algo trading.
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Familiarity with investigations and proceedings initiated by the Federal Trade Commission, Federal Communications Commission, Consumer Financial Protection Bureau, and other federal and state regulatory agencies is a plus.
$200,000Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Hands on experience with deployment of physical hardware (firewalls, load balancers, routers, switches), troubleshooting, monitoring and disaster recovery is a plus. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively "the Policies"), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner.
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MBA, JD, CFA, CPA a plus. IACCP or comparable certification is a plus. Our bank client is seeking to fill a Compliance Officer -Sub-Advisory/ERISA Funds role in the Chicago, IL area.
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Experience with tools like GitHub, Jenkins, Jira is a plus. Experience in Python, Java, Django, Pytest, Panda, Core Java, J2EE, Spring, Angular or React. Experience with tools like GitHub, Jenkins, Jira is a plus.
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Three to five plus years of experience in investment management or AML compliance, preferably at a large broker or other financial institution with an international client base. Interactive Brokers is looking to hire a Compliance Manager at the Chicago Office.
ExpandApply NowActive JobUpdated 18 days ago - UpvoteDownvoteShare Job
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ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus. Analysts will report to a Compliance Manager in our Chicago office and assist with ensuring the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.
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Strong interpersonal skills and a suitable temperament and disposition. Requires remaining in a stationary position for extended periods of time and constantly operating a computer and other office productivity machinery.
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Forensic certifications such as CFF, CAMS or CFE is a plus. Client service experience preferred, national public accounting firm experience is a plus. MBA, ASA, and/or CFA, a plus.
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Ability to recognize when a request would unduly burden CTA staff and operations and follow the requirements of the Illinois Freedom of Information Act to properly respond to such requests. Failure to respond to these correspondences in a timely fashion may result in your application being closed out for non-responsiveness.
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a plus jobs Title: compliance in Chicago, IL
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