Entry Level Compliance Officer Jobs in Chicago

... retention letters and waivers, and director/officer positions. Facilitate and monitor the ... the intake program, provide data entry using Firm systems, provide team ... to existing client and matter..

Regional Compliance Officer The candidate will lead and ... will lead and manage the Compliance program for North America; review ... North America; review and evaluate Compliance issues/concerns within the..

Regional Compliance Officer The candidate will lead and ... will lead and manage the Compliance program for North America; review ... North America; review and evaluate Compliance issues/concerns within the..

Compliance Officer - Securities Industry The candidate ... support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series ... (Trusts). Will assist in the compliance oversight of service providers..

Compliance Testing Officer Compliance Testing Officer Duties: Reporting to the Head ... to the Head of Regulatory Compliance, the Compliance Officer: Licensing & Examinations will be ... in Regulatory Assurance..

Compliance Officer: Regulatory Examinations & Licensing Duties: Entirely manage State regulatory examinations, including receiving notifications of exams, responding to initial examination requests for materials, responding to subsequent requests for materials and ..

... retention letters and waivers, and director/officer positions. Facilitate and monitor the ... the intake program, provide data entry using Firm systems, provide team ... to existing client and matter..

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

Chief Compliance Officer The candidate will report to ... develop and motivate a small compliance team while providing support to ... work within the legal and compliance team, but within..

Compliance Testing Officer Compliance Testing Officer Duties: Reporting to the Head ... to the Head of Regulatory Compliance, the Compliance Officer: Licensing & Examinations will be ... in Regulatory Assurance..

Compliance Officer: Regulatory Examinations & Licensing Duties: Entirely manage State regulatory examinations, including receiving notifications of exams, responding to initial examination requests for materials, responding to subsequent requests for materials and ..

Compliance Testing Officer Duties: Perform targeted regulatory testing ... targeted regulatory testing to ensure compliance with applicable regulations. Review controls ... initiatives to enhance second line compliance oversight. Ensure compliance..

Chief Compliance and Regulatory Officer (CCRO) The candidate will serve ... senior management team on operational compliance and regulatory matters, providing advice, ... federal regulatory changes. Ensure that compliance guidance..