: An opportunity to work in a dynamic compliance function focusing on trading surveillance. The role helps to manage the Firm... surveillance. Identify potential areas of compliance vulnerability and risk; develops and/or implements corrective action plans...
: An opportunity to work in a dynamic compliance function focusing on trading surveillance. The role helps to manage the Firm... surveillance. Identify potential areas of compliance vulnerability and risk; develops and/or implements corrective action plans...
The Compliance Analyst will support the Compliance team in monitoring transactions and communications within the... company. This role involves assisting in the delivery of key compliance services and ensuring that monitoring functions...
The Compliance Analyst will support the Compliance team in monitoring transactions and communications within the... company. This role involves assisting in the delivery of key compliance services and ensuring that monitoring functions...
Senior Compliance Analyst | Chicago, IL (3 days in-office, 2 WFH) Institutional investment manager seeks Senior... Compliance Analyst to assist Chief Compliance Officer with activities for mutual funds, investment adviser, and broker dealer...
to customers. To be considered for this position, please send a resume to careers@phillipcapital.com with “Compliance Analyst... of registered representatives Perform review of email surveillance, escalating items to the CCO as needed Develop, review...
as a . Interactive Brokers is looking to hire two Trade Surveillance Analysts (temps) for a six-month assignment in its Chicago, Illinois... will report to a Compliance Manager and assist with ensuring the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti...
) for filing; You will investigate Surveillance issues according to firm guidelines; As part of the Compliance team...Chicago, Illinois Compliance - Regulatory Compliance & Operations / Full-time / Hybrid Our Local Programs...