Regulatory and Exchange Compliance Specialist - Chicago - Maven Securities

    Maven Securities
    Maven Securities Chicago

    5 days ago

    $170,000 - $200,000 (USD) per year
    Description

    Regulatory and Exchange Compliance Specialist

    Maven a proprietary trading firm focuses on options market-making alongside various other proprietary trading activities.

    The Regulatory and Exchange Compliance Specialist will contribute to the general workstreams and projects managed by the team particularly focusing on US based business activities ensuring Maven understands its regulatory and exchange obligations working with compliance teams to ensure successful implementations long-term compliance.

    This role is fast-paced offering timely high-quality advice to support commercial objectives while meeting requirements under the US regulatory framework. As Maven expands its US trading activities across new products exchanges complexity of regulatory rule requirements increases our aim is to provide market leading advice supporting safe effective sustainable growth development.

    • Assist Head of Compliance in ensuring Firm's US business remains compliant at all times reviewing clarifying defining applicability of US rules providing guidance advice facilitating interpretation carrying-out risk assessments implementing monitoring reporting as necessary reviews pending proposed changes assessing impact coordinating implementation where required written supervisory policies procedures remain fit for purpose implemented take proactive approach drafting maintaining policies procedures as needed assist management regulatory exams audits communicating exchanges contribute preparation responses enquiries investigations collaborate different Trading non-Trading teams assess Firm's compliance report findings recommendations coordinate implementation changes appropriate.</li></ul>

      Requirements</h3><ul style=\


  • Work in company

    Compliance Specialist

    Only for registered members

    We are looking for an experienced and collaborative Compliance Specialist to support our multi-billion-dollar airport capital Redevelopment Program. This position allows for the opportunity to be a major contributor to the growth of one of the busiest airports in the world as par ...

    Chicago, IL

    1 month ago

  • Work in company

    Compliance Specialist

    Only for registered members

    Assisting with RIC regulatory filings preparing tender offer documents assisting with annual update of Funds registration statements preparing board meeting materials organizing board meetings collaborating draft response to 15(c) request letter assisting CCO conducting annual re ...

    Chicago, IL

    3 weeks ago

  • Work in company Remote job

    Compliance Specialist

    Only for registered members

    M1 Finance ha creado una plataforma personal de riqueza financiera hecha para la era actual. · Unimos perspectiva personal e facilidad automática en un único aplicación financiero super intuitivo. Trabajamos con la misión de empoderar bienestar financiero.. · Somos los líderes en ...

    Chicago, IL

    1 month ago

  • Work in company

    Compliance Specialist

    Only for registered members

    We are not a staffing firm or agency. Lensa partners with DirectEmployers to promote this job for Jacobs. Our onsite Program Management team in Chicago is looking to add an experienced and collaborative Compliance Specialist in support of a multi-billion-dollar airport capital Re ...

    Chicago

    1 month ago

  • Work in company

    Compliance Specialist

    Only for registered members

    We are looking for a Compliance Specialist to join our team in Chicago. The successful candidate will support the oversight and implementation of compliance programs related to supplier diversity and workforce development. · Provide interpretations, analysis, and recommendations ...

    Chicago $104,000 - $140,000 (USD)

    2 weeks ago

  • Work in company

    Compliance Specialist

    Only for registered members

    We are currently seeking a Compliance Specialist to ensure compliance in Low-Income Housing HUD/Tax Credit rules and regulations by overseeing programs, policies, and practices. · Work closely with on-site and corporate staff to ensure regulatory compliance with housing programs ...

    Chicago $54,000 - $56,000 (USD)

    1 month ago

  • Work in company

    Compliance Specialist

    Only for registered members

    This role sits within the First Line of Defense and focuses on strengthening processes, · risk management practices, · and documentation standards across the organization.Facilitate working sessions with business partners to gather information and build accurate process flows. · ...

    Chicago

    1 month ago

  • Work in company

    Compliance Specialist

    Only for registered members

    Compliance Specialist assists with RIC regulatory filings and prepares tender offer documents. · Assisting with RIC regulatory filings · Preparing tender offer documents. · ...

    Chicago

    3 weeks ago

  • Work in company

    Benefits Compliance Specialist

    Only for registered members

    The Benefits Compliance Specialist is responsible for managing and supporting health and welfare benefits compliance across federal and regulatory requirements. · Bachelor's degree in Business, Human Resources, Finance, or a related field (or equivalent experience) · 3+ years of ...

    Chicago, IL

    1 month ago

  • Work in company

    Corporate Compliance Specialist

    Only for registered members

    AAR is seeking a professional level Corporate Compliance Specialist to join the Compliance Department. · ...

    Greater Chicago Area $60,000 - $115,000 (USD) per year

    2 weeks ago

  • Work in company

    Risk & Compliance Specialist

    Only for registered members

    We're looking for an experienced Risk & Compliance Specialist who can independently build and enhance process documentation, strengthen control environments, and support ongoing risk audit compliance initiatives. · This role requires someone seasoned who can step in with minimal ...

    Greater Chicago Area

    1 month ago

  • Work in company

    Legal Compliance Specialist

    Only for registered members

    A growing company seeks a Legal Compliance Specialist to ensure organizational adherence to internal policies and regulatory requirements. · ...

    Chicago, IL

    1 month ago

  • Work in company

    IT Risk and Compliance Specialist

    Only for registered members

    JOB SUMMARY: · NORC at the University of Chicago is seeking a seasoned IT Risk and Compliance Specialist to join our Information Technology Department within the DSS Security and Compliance team. This critical role will focus on driving the organization's adherence to complex reg ...

    Chicago, IL

    1 week ago

  • Work in company

    Regulatory Compliance Specialist

    Only for registered members

    This position works within the supply chain for Food,Beverage and Supplement ingredients. You will be working with a team of other Regulatory and Quality members to fulfill and review product documentation,customer inquiry's,and supporting documentation adhering to FSMA regulatio ...

    Greater Chicago Area

    1 month ago

  • Work in company

    Specialist - Regulatory Compliance

    Only for registered members

    Achieving our goals starts with supporting yours. Grow your career, access top-tier health and wellness benefits, build lasting connections with your team and our customers, and travel the world using our extensive route network. · ...

    Chicago, IL

    2 weeks ago

  • Work in company

    Regulatory Compliance Specialist

    Only for registered members

    Your Role & Responsibilities · Job Summary: · The Regulatory Compliance Specialist supports the daily operations of the Regulatory Compliance and Document Management function within Brenntag's Quality and Regulatory organization. This role ensures that product setup, supplier doc ...

    Chicago $65,000 - $120,000 (USD) per year

    1 day ago

  • Work in company

    Customer Compliance Specialist

    Only for registered members

    Manages customer complaints assuring accurate complaint description root cause is identified and a meaningful preventative measure is documented determines if customer claims are valid based on complaint evidence and works to minimize NWF financial exposure. · Minimum 1-2 years o ...

    Chicago, IL

    1 month ago

  • Work in company

    Customer Compliance Specialist

    Only for registered members

    Manages customer complaints assuring accurate complaint description, root cause is identified and a meaningful preventative measure is documented. Determines if customer claims are valid based on complaint evidence and works to minimize NWF financial exposure. · Essential Functio ...

    Chicago

    1 day ago

  • Work in company

    Compliance Operations Specialist

    Only for registered members

    ABOUT GREYSTAR · Greystar is a leading, fully integrated global real estate platform offering expertise in property management, investment management, development, and construction services in institutional-quality rental housing. Headquartered in Charleston, South Carolina, Grey ...

    Chicago, IL $50,000 - $90,000 (USD) per year

    2 days ago

  • Work in company

    Senior Compliance Specialist

    Only for registered members

    This position reports to the Head of Field Supervision and is predominantly self-directed and self-motivated. · Coverage on the first day of employment for medical, dental, and vision insurance Paid parental leave (16 weeks for primary caregiver and 8 weeks for secondary caregive ...

    Chicago, IL

    1 month ago

  • Work in company

    Legal Compliance Specialist

    Only for registered members

    + Legal Compliance Specialist · The specialist will be responsible for ensuring organizational adherence to internal policies, procedures, and all relevant regulatory requirements. This individual will manage and maintain internal legal documentation, oversee procedural complianc ...

    Chicago

    1 month ago

Jobs
>
Chicago