- Monitor and conduct trade surveillance in all asset classes for potential trade practice violations, escalating issues appropriately, and communicating with appropriate personnel possible consequences and mitigation options
- Assist the Chief Compliance Officer in responding to government and SRO inquiries as they arise
- Work closely trading groups, senior management, and middle/back office
- Assist with employee compliance onboarding and offboarding procedures
- Answer regulatory questions, interpret regulations, and provide guidance in various scenarios
- Monitor on-going developments across the regulatory landscape and evaluate the potential Firm impact of these developments
- Bachelor's Degree is required, Law Degree is a plus
- 3-5 years of experience in the Financial Services Industry
- Relevant FINRA certifications including SIE, 7 & 24 strongly preferred, with a willingness to achieve any missing certifications during first year of employment
- Financial Industry business knowledge is required
- Strong critical thinking skills, high attention to detail, and a strong sense of urgency. A desire to enhance problem-solving through data-driven tools (e.g. SQL, Python) is a plus
- Willingness to cross train in all areas of compliance and establish strong working relationships with exchanges, regulators, and vendors
- Traditional and Roth 401(k) retirement program
- Comprehensive health benefits including medical coverage provided by Blue Cross and Blue Shield (PPO and HDHP/HSA) and dental coverage; generous employer cost-sharing
- Tuition reimbursement (undergraduate or graduate courses taken after employment begins)
- Flexible Spending Accounts for health care and dependent care; pre-tax commuter benefits for parking and transit expenses
- Life insurance and long-term disability coverage
- Health club membership with on-site facilities (and reciprocal memberships)
- Generous vacation time (15-day accrual in first full calendar year of employment; prorated accrual in initial year), paid holidays, and paid maternity/paternity leave
- Catered lunches 3x/week and monthly continental breakfasts
- Social events including sponsored 5k races and annual holiday party
- Enjoyable work environment with office space that includes a golf simulator and pool table
- Employee referral bonus program
- Charitable giving and company matching opportunities
- Casual, relaxed dress code
-
Avp, Compliance Officer, Compliance Audit and
2 weeks ago
Combined Insurance Chicago, United States**JOB SUMMARY**: · This Assistant Vice President, Compliance Officer Audit & Testing is responsible for implementing Combined's compliance assurance program in accordance with Chubb's business compliance framework. This individual will work with our business partners to establish ...
-
Performance and Compliance Officer
2 weeks ago
Shawna Nicole Consulting Chicago, United StatesHospital Quality, Performance and Compliance Officer · **SUMMARY** · The Quality Officer plans, directs, and evaluates patient care; facilitates quality improvement efforts and regulatory requirements among the Medical Staff and Hospital departments through data collection, aggre ...
-
Certification - Compliance Officer
3 weeks ago
City of Chicago Chicago, United States**Job Number**:394897** · **Description** · BID/JOB ANNOUNCEMENT · - Certification / Compliance Officer · Department of Procurement Services · **Number of Positions: 6** · **This position is open to the public and all current city employees covered under the City's Collective Bar ...
-
Ada Compliance Officer
4 days ago
Chicago Board of Election Commissioners Chicago, United States_**Join the Chicago Board of Elections an ADA Compliance Officer**_ · - **Position Summary**_ · - **Salary Range**:_ $70,000 - $75,000 · - **Essential Duties/Responsibilities**:_ · - Ensure Board compliance with all applicable federal and state laws regarding accessibility in the ...
-
Local Compliance/office Admin
1 week ago
Healthcare Plus Chicago, United StatesExciting Opportunity at Healthcare Plus · Are you passionate about making a positive impact in healthcare? Healthcare Plus is looking for a dedicated Receptionist/Office Admin to join our team No experience needed - we provide comprehensive training to work directly with our valu ...
-
Sevis Coordinator/compliance Officer
3 weeks ago
Roosevelt University Chicago, United States**Position Title** · - SEVIS Coordinator/Compliance Officer · **Category** · **Position Number** · - A99338 · **Posting Number** · - S0001121 · **Location** · - Chicago · **Open Date** · - 05/08/2024 · **Close Date** · **Open Until Filled?** · - Yes · **Job Type** · - Full-Time · ...
-
Compliance Officer
3 weeks ago
Marsh & McLennan Companies, Inc. Chicago, United States OTHERWhat can you expect? · Marsh McLennan's Legal, Compliance and Public Affairs (LCPA) department promotes a culture in which ethical, lawful, and risk mindful behavior is encouraged and reinforced. LCPA develops and implements policies and procedures, systems and controls, training ...
-
Compliance Officer
3 weeks ago
Cook County Health Chicago, United StatesPOSITION TITLE: Compliance Officer, CountyCare · REPORTS TO: Chief Compliance and Privacy Officer · ORGANIZATION: Cook County Health CountyCare · LOCATION: Chicago, IL · SUMMARY: The Compliance Officer, CountyCare reflects the mission and vision of Cook County Health (CCH), adher ...
-
Compliance Officer
4 weeks ago
Larson Maddox Chicago, United StatesWe are partnered with a leader in the asset management industry to source a Compliance Officer. The selected candidate will report directly to the Senior Compliance Counsel and collaborate closely with the Compliance and Legal Departments. The primary responsibility involves supp ...
-
Compliance Officer
1 week ago
Gelber Group Chicago, United StatesWe are Gelber Group -- Passion for Trading. Powered by Technology. · Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success deri ...
-
Compliance Officer
2 weeks ago
Larson Maddox Chicago, IL, United StatesWe have a current opportunity for a Compliance Officer on a permanent basis. The position will be based in Chicago. For further information about this position please apply. · Responsibilities: · Manage FINRA CRD, including the Firm's BD licenses, individual U-4 registrations, an ...
-
Compliance Officer
3 weeks ago
Cook County Health Chicago, United StatesPOSITION TITLE: Compliance Officer, CountyCare · REPORTS TO: Chief Compliance and Privacy Officer · ORGANIZATION: Cook County Health CountyCare · LOCATION: Chicago, IL · SUMMARY: The Compliance Officer, CountyCare reflects the mission and vision of Cook County Health (CCH), a ...
-
Compliance Officer
1 week ago
SNI Financial Chicago, United StatesCOMPLIANCE OFFICER - ONSITE - CHICAGO - PRIOR SUPERVISORY EXP -SALARY $65-$85k · Assist with overseeing the consumer compliance functions (laws and regulations) as they apply to the Bank. Assist in ensuring the Bank complies with regulatory requirements and applicable policies, ...
-
Compliance Officer
3 weeks ago
Larson Maddox Chicago, United States Full timeWe have a current opportunity for a Compliance Officer on a permanent basis. The position will be based in Chicago. For further information about this position please apply. · Assist with formal FINRA, CBOE, and ICE firm examinations · Research and prepare memos on relevant SRO a ...
-
Compliance Officer
2 weeks ago
Morningstar Inc. Chicago, United StatesThe Group: Morningstar's Compliance team supports Morningstar's global business entities, primarily focusing on those registered with and governed by regulatory authorities. Our compliance professionals help each Morningstar business entity adhere to the rules and regulations of ...
-
Compliance Officer
2 weeks ago
Gelber Group Chicago, United StatesWe are Gelber GroupPassion for Trading. Powered by Technology. · Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives ...
-
Compliance Officer
1 week ago
SNI Financial Chicago, United StatesCOMPLIANCE OFFICER - ONSITE - CHICAGO - PRIOR SUPERVISORY EXP -SALARY $65-$85k · In order to make an application, simply read through the following job description and make sure to attach relevant documents. · Assist with overseeing the consumer compliance functions (laws and ...
-
Compliance Officers
1 week ago
Alera Group Chicago, IL, United States Full timeis seeking a Regional Compliance Consultant to join our team Alera Group was formed on January 1, 2017 and is one of the largest independent, national insurance and financial services firms in the U.As a Regional Compliance Consultant , you will have the primary responsibility of ...
-
Compliance Officers
1 week ago
Alera Group Chicago, IL, United States Full timeis seeking a Regional Compliance Consultant to join our team Alera Group was formed on January 1, 2017 and is one of the largest independent, national insurance and financial services firms in the U.As a Regional Compliance Consultant , you will have the primary responsibility of ...
-
Compliance Officer
2 days ago
Cook County, IL Chicago, United StatesApplicants may apply for this position by submitting a resume/ CV to the following email address: · When submitting a resume/CV by email, you must include the job title and posting number in the subject line of your email. An application or resume/CV must be filed for each posit ...
Compliance Officer - Chicago, United States - Gelber Group
Description
Job Description
Job DescriptionWe are Gelber Group -- Passion for Trading. Powered by Technology.
Headquartered in Chicago with offices across the United States and Europe, for over 40 years, we have set the bar as one of the industry's most innovative and enduring proprietary trading firms. Our success derives from a relentless pursuit of new trading ideas and careful attention to technology. We believe in a culture of entrepreneurship, innovation, and collaboration and we empower each member of our team to have a meaningful impact from the very start of their career with Gelber. We invest in our future through our technology and talented staff, strategically committing resources to move our firm forward and help our people succeed. We trade a little bit of everything here and are always looking to expand into new opportunities. Our flat organizational structure and focus on a true meritocracy, attracts individuals with an edge which contributes to our consistent success.
As a Compliance Officer at Gelber, you will have a real opportunity to have a long-term career in Operations at a successful trading firm. You will work side by side with our Chief Compliance Officer and interact with many individuals across the firm. This role is for someone who flourishes in a fast-paced environment, has a strong work ethic, clear communication, and has a strong interest in growing their experience in the regulatory space. This position will report directly into the Chief Compliance Officer and will be part of a small team where you can have a lot of impact and exposure to other senior management.
What you'll do:
What you'll need:
Benefits Highlights
Gelber offers a wide range of benefits to full-time employees in order to meet you and your covered dependents needs. Our comprehensive benefits offering includes:
If you are based in California, we encourage you to read the Gelber Privacy Notice for California Employees and Applicants, linked here.