licensing compliance officer jobs in Chicago, IL

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Compliance & Licensing Analyst Lucky Lincoln Gaming (LLG) is looking for a Compliance & Licensing Analyst to join our Compliance Team in Chicago. As a Compliance & Licensing Analyst you will be responsible for monitoring and documenting various licenses and renewals. This

Chicago
20 hours ago

A premier Mortgage Lender is looking for a new Chief Compliance Officer and the position is 100% Remote. In this position you will have full autonomy to build out the organization's Compliance program and you will act in an advisory position to the Board of Directors in

Chicago
2 days ago

management experience - Knowledge of US Customs rules and regulations, required - USMCA and other FTA experience. - US Customs Broker's License required - Bachelor’s degree or equivalent, required - This is an in-office role at the Franklin, TN company headquarters. - Must be

Chicago
2 days ago

Hybrid Remote- NYC/Greenwich, CT Our client, a prestigious Registered Investment Advisor, seeks a Code of Ethics Compliance Officer. Highly visible role with growing team provides opportunity to work within a global firm on a number of compliance initiatives. Position

Chicago
2 days ago

modern methods, fusing strategy, consulting and customer experience with agile engineering and problem-solving creativity. United by our core values and our purpose of helping people thrive in the brave pursuit of next, our 20,000+ people in 53 offices around the world combine

Chicago
2 days ago

Description To apply to this Assistant Compliance Officer role, please send your resume to John Sadofsky (john.sadofsky@roberthalf.c0m)•Monitor and implement compliance regulations and changes set forth by Federal and State regulatory agencies that result in satisfactory

Chicago
4 days ago

U.S., the firm operates as a registered investment advisor (RIA). Role & Responsibilities We are seeking an experienced Chief Compliance Officer (“CCO”) who is a multi-tasker at heart, with strong communication skills and a problem-solving mindset that thrives in a fast

Chicago
2 days ago

Position: Chief Compliance Officer Location: Chicago, Illinois About the Position: Cabrera Capital Markets is seeking a Chief Compliance Officer (“CCO”) who is responsible for all aspects of the complaint intake and regulatory inquiry process of the broker/dealer

Chicago
2 days ago

The General Counsel and Chief Compliance Officer provides legal advice and consultation to the Board of Trustees, University President, the Administration and faculty and represents the University before University hearing bodies as well as administrative and judicial

Chicago
3 days ago

out of the US offices are in line with Regulation D and Regulation S as applicable;• Helping to make non-US registered funds marketable, including the consideration of Bad Actor disqualifications and CFTC licensing requirements and the co-ordination of fund filing and offering

Chicago
2 days ago

: Envestnet Wealth is seeking a Compliance Officer, Registered Investment Company. This position serves as a Compliance Officer for EAM, a Securities and Exchange Commission (SEC) registered investment adviser which provides investment advisory services to a variety of products

Chicago
12 days ago

and socialization for real estate brokers and agents through its 3-D, fully-immersive, cloud office environment.eXp Realty attracts the most talented people from all fields. Whether you're a real estate professional, engineer, marketer, accountant or another field, you'll be

Chicago
a day ago

activities conducted out of the US offices are in line with Regulation D and Regulation S as applicable; • Helping to make non-US registered funds marketable, including the consideration of Bad Actor disqualifications and CFTC licensing requirements and the co-ordination of

Chicago
2 days ago

; • Liaising closely and building relations with the UK based Compliance teams; • Ensuring that the securities marketing activities conducted out of the US offices are in line with Regulation D and Regulation S as applicable; • Helping to make non-US registered funds

Chicago
2 days ago

regulations of the local regulatory authorities. The Role: Morningstar's Compliance team is currently seeking an experienced and highly motivated Compliance Officer who has at least 5 years of experience in a regulated environment. The individual will focus on the firm's Direct

Chicago
11 days ago

opportunities that enhance employee career growth; developing the appropriate talent pool to ensure adequate bench strength and succession planning; recognizing and rewarding employees for accomplishments. #LI-GM1 Compliance Officer II - BIN Sponsorship LOCATION

Chicago
2 days ago

Address: 111 W Monroe - 115 S LaSalle Job Family Group: Audit, Risk & Compliance The Senior Compliance Officer within the U.S. Corporate Areas Compliance Team provides second line compliance oversight of corporate areas for regulatory risk that falls within the U.S

Chicago
12 days ago

, financial stability, and integrity. Six core values are embedded within these commitments – student-centered, whole child, equity, academic excellence, community partnership, and continuous learning. Job Description: Reporting to the Equal Opportunity Compliance Office

Chicago
2 days ago

ready to deliver premium results for you.The PositionOur bank client is seeking to fill a Bank Compliance Officer role in the greater Chicago, IL market. This role will be responsible for working closely as a member of the Enterprise Risk Management Department to develop

Chicago
2 days ago

place of high expectations, deep curiosity and thoughtful collaboration. As a Senior Compliance Officer in our Chicago headquarters office, you’ll assist in the oversight of all North American - based compliance including surveillance, monitoring, developing and enforcing

Chicago
2 days ago

Address:111 W Monroe - 115 S LaSalleJob Family Group:Audit, Risk & ComplianceThe Senior Compliance Officer within the U.S. Corporate Areas Compliance Team provides second line compliance oversight of corporate areas for regulatory risk that falls within the U.S. Compliance

Chicago
2 days ago

This is an opportunity for a Chief Compliance Officer to come join an exciting and growing Fin-Tech firm headquartered in the heart of Downtown Dallas. Lead a growing business division and design the strategy for the firm. We’re looking for someone who: - Is passionate

Chicago
3 days ago

Role: A Compliance Officer-Regulatory & Reporting is responsible for ensuring all applicable personnel (and affiliates) meet the reporting and regulatory requirements of all exchanges, the NFA and the CFTC. The Compliance Officer will do this by replying to inquiries

Chicago
10 hours ago

We have an exciting opportunity to join our Compliance team as a Control Room Compliance Officer and we are offering this as a 100% remote opportunity. If you have Control Room experience and enjoy working autonomously, this is for you!The Control Room Compliance Officer

Chicago
2 days ago

What will you do?Ensure all new equipment and instrumentation is assessed appropriately and validated for its intended use and existence, usage, and review of audit trails and 21CFR Part 11 and Annex 11 regulations.Communicate actions, compliance gaps, and commitments to

Chicago
2 days ago

EFRP, blocks, cross trades, etc. Improve efficiencies in the compliance trade monitoring process, including trade transfers. Regularly attend industry conferences and calls, staying up to date on continuing developments. Work with Front Office as needed to address trade

Chicago
13 days ago

Morningstar’s Compliance team is currently seeking an experienced and highly motivated Compliance Officer who has at least 5 years of experience in a regulated environment. The individual will focus on Direct Indexing a new initiative across the firm. This position is based

Chicago
2 days ago

Job Description Position Purpose: Serve as a leader on various areas of compliance monitoring and internal customer service to the business units supported by the compliance team devoted to the Futures Commission Merchant Primary Accountabilities/Responsibilities: Serve as

Chicago
2 days ago

Marex Spectron are a market-leading commodity broking company, with a thriving Chicago office.Overall purpose of role:A Compliance Officer-Regulatory & Reporting is responsible for ensuring all applicable personnel (and affiliates) meet the reporting and regulatory

Chicago
2 days ago

working in regulatory compliance and want to help enhance and build compliance processes at a FinTech company? Avant is looking for a Compliance Officer to join the Compliance Services team within the growing 20+ person Compliance Department in Chicago. You will be primarily

Chicago
12 days ago

Address: 111 W Monroe - 115 S LaSalle Job Family Group: Audit, Risk & Compliance We are hiring! Our Consumer Banking, Corporate Compliance team is looking for a Senior Compliance Officer. We focus on regulatory compliance for Deposits, including our debit card program, and

Chicago
8 days ago

will be responsible for management of the related Compliance Managers and Compliance Officers, including ensuring compliance with Federal laws and regulations and industry standards. This position is also responsible for continued team member development, employee engagement

Chicago
12 days ago

place of high expectations, deep curiosity and thoughtful collaboration. As the Energy Compliance Officer, you’ll lead the oversight of all energy trading including US crude, refined products and natural gas compliance encompassing the surveillance, monitoring, development and

Chicago
2 days ago

Description To apply to this Compliance Officer role, please send your resume to John Sadofsky (john.sadofsky@roberthalf.c0m)Responsibilities:•Conduct compliance ad-hoc monitoring for potential rule violations or concerning activities related to trading activity, money

Chicago
12 days ago

Provide overall compliance related guidance and support to various departments and senior leaders throughout the organization Work with various teams across the organization to ensure that appropriate regulatory policies, procedures and controls are established and well

Chicago
8 minutes ago

Address:111 W Monroe - 115 S LaSalleJob Family Group:Audit, Risk & ComplianceWe are hiring! Our Consumer Banking, Corporate Compliance team is looking for a Senior Compliance Officer. We focus on regulatory compliance for Deposits, including our debit card program, and our

Chicago
2 days ago

Director, Compliance & Training (Office of Student Protections)(Job Number: 210002FC) Description Chicago Public Schools (CPS) is the third-largest school district in the United States, serving over 340,000 students in 600+ schools and employing nearly 36,000 people, most

Chicago
2 days ago

Address:111 W Monroe - 115 S LaSalleJob Family Group:Audit, Risk & ComplianceWe are hiring! Our Second Line Consumer Lending, Corporate Compliance team is looking for a Senior Compliance Officer. We focus on regulatory compliance for Lending products, including mortgage

Chicago
2 days ago

Description To apply for this Senior Compliance Officer role, email your resume to John Sadofsky (john.sadofsky@roberthalf.c0m). In the subject line, type "Senior Compliance Officer role"+ Take lead role in monitoring and reviewing daily trade and market surveillance alerts

Chicago
12 days ago

Address: 111 W Monroe - 115 S LaSalle Job Family Group: Audit, Risk & Compliance Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to

Chicago
3 days ago
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