Compliance Search Group Jobs in Illinois

5 jobs

A Financial services firm seeks a Risk and Compliance Specialist who will be responsible for monitoring matches of shareholders to worldwide government watch lists of drug dealers, terrorists, and criminals. In addition, suspicious account activity such as anti-money laundering, market timing, account take over, and fraud are monitored. Responsibilities • Coordinate Quarterly AML Certification ...

A financial services firm seeks a Risk Senior Specialist who is responsible for overseeing the daily operations of the Transfer Agency and Risk Control functions of the firm. S/he will be responsible for the development and implementation of long range planning to improve overall service delivery, maintaining quality and productivity standards for the area and lead operating procedures and polici...

An SEC-registered investment adviser seeks a Compliance Analyst who will be responsible for assisting in review of Retail funds compliance oversight, RESPONSIBILITIES INCLUDE, BUT ARE NOT LIMITED TO: • Assist with review of Retail Board meeting minutes. • Preparing scheduled and ad hoc Retail Board reports. • Participate in Prospectus and SAI updates • Oversee Adviser and Fund manual updates ...

A Financial services firm a seeks Director of Anti-Money Laundering (AML) who will be responsible for working across futures commission merchant, swap dealer, and broker dealer entities, leads and streamlines AML programs. This position requires in depth knowledge of the BSA, CFTC, NFA, FINRA, and SEC regulations, as well as KYC. This position will provide both day-to-day oversight and strategic ...

A global asset management firm seeks a Compliance Manager who will be responsible for ensuring that the firm and its employees adhere to the laws, regulations and ethical standards of the securities industry by supporting the Chief Compliance Officer (CCO) in the management and execution of the investment compliance program for the firm. The successful candidate’s responsibilities will include: ...