Jobs
>
Chicago

    Compliance Associate - Chicago, United States - Chicago Financial Search

    Chicago Financial Search
    Chicago Financial Search Chicago, United States

    3 weeks ago

    Default job background
    Description
    Compliance Associate
    Chicago - Onsite
    This role is onsite and requires a candidate local to the Chicagoland area.


    About The Role:


    We are looking for a highly motivated compliance associate working with CCO directly to manage its FCM and CPO/CTA compliance matters.

    You are expected to have specific expertise in all facets of commodity futures regulation with a certain understanding of CTFC regulation, including but not limited to net capital rules, customer protection and segregation rules and AML policy, etc.

    You will also assist the CCO to ensure that all processes are in place to maintain, review, test and modify written compliance policies.


    What You'll Do:


    Coordinate the initial regulatory registrations and regulatory proficiency tests for employees with the NFA including getting the necessary information from the individual, coordinating background checks and submitting the application.

    Coordinate the enrollment of applicable Firm new hires into required regulatory trainings including AML, Cybersecurity, and ethics training, as applicable
    Coordinate the annual training requirements including AML, cybersecurity, segregated funds, and periodic ethics training requirements as well as other training programs the Firm undertakes
    Participate in the completion of the annual compliance audit by the firm's designated self-regulatory organization
    Coordinate with the CCO to administer the annual anti-money laundering compliance audit
    Assist CCO to perform AML and KYC check for new on-boarding clients and existing clients and assist with the new account documentation process and coordinate the maintenance and filing of required policies, procedures, and records
    Assist with third-party service provider reviews and performs the necessary AML checks for client's deposit and withdrawal procedures
    Respond to regulatory requests as required.
    Collaborates with other departments (e.g., Risk Management, Finance and Settlement, etc.)


    What We're Looking For:
    Bachelor's degree in Finance or Business or equivalent years' experience in finance, compliance, or auditing preferred; Familiarity with commodity derivatives preferred

    Working experience:
    minimum of three (3) years relevant work experience at a futures commodity merchant or related businesses is required;
    Skilled in researching, interpreting, and disseminating information on compliance regulations and laws
    Strong organizational, interpersonal and communication skills and Microsoft Office skills;
    The candidate should be a team player with the ability to work with diverse personalities.

    The candidate should have a multi-tasking ability to complete projects within tight time constraints and adapt quickly as needs change.

    OOJ – 1373

    #J-18808-Ljbffr
  • Larson Maddox

    Compliance Associate

    4 weeks ago

    Larson Maddox Chicago, United States

    Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Associate to join the team and work alongside the Comp ...

  • Chicago Financial Search, Inc.

    Compliance Associate

    4 weeks ago

    Chicago Financial Search, Inc. Chicago, United States

    Compliance Associate · Chicago - Onsite · This role is onsite and requires a candidate local to the Chicagoland area. · About The Role: · We are looking for a highly motivated compliance associate working with CCO directly to manage its FCM and CPO/CTA compliance matters. You are ...

  • Cresset

    Associate, Compliance

    1 week ago

    Cresset Chicago, United States

    About Cresset · Private equity entrepreneurs Eric Becker and Avy Stein founded Cresset Capital Management with a vision to reinvent wealth management and with a firm belief that clients deserve better. Cresset offers individuals and families access to a comprehensive suite of fam ...

  • Slate Asset Management

    Associate, Compliance

    4 weeks ago

    Slate Asset Management Chicago, United States

    Associate, Compliance · Slate Asset Management · Chicago, Illinois, United States · About Slate Asset Management · Slate Asset Management is a leading real estate focused alternative investment platform with approximately US$10 billion in assets under management. Slate is a valu ...

  • Slate Asset Management Inc.

    Associate, Compliance

    2 weeks ago

    Slate Asset Management Inc. Chicago, United States

    Slate Asset Management is a leading real estate focused alternative investment platform with approximately US$10 billion in assets under management. Slate is a value-oriented manager and a significant sponsor of all of its private and publicly traded investment vehicles, which ar ...

  • Slate Asset Management

    Associate, Compliance

    2 weeks ago

    Slate Asset Management Chicago, United States

    Associate, Compliance · Slate Asset Management · Chicago, Illinois, United States · About Slate Asset Management · Slate Asset Management is a leading real estate focused alternative investment platform with approximately US$10 billion in assets under management. Slate is a valu ...

  • Slate Asset Management Inc.

    Associate, Compliance

    4 weeks ago

    Slate Asset Management Inc. Chicago, United States

    Slate Asset Management is a leading real estate focused alternative investment platform with approximately US$10 billion in assets under management. Slate is a value-oriented manager and a significant sponsor of all of its private and publicly traded investment vehicles, which ar ...

  • The University of Chicago

    Compliance Associate

    4 weeks ago

    The University of Chicago Chicago, United States

    Department · UL Crime Ed Lab Data Partnerships About the Department · Who We Are · In cities across the country, people face high rates of gun violence, under-resourced schools, and social harms associated with the criminal justice system all of which disproportionately impact p ...

  • University of Chicago

    Compliance Associate

    2 weeks ago

    University of Chicago Chicago, United States

    Department · UL Crime Ed Lab Data Partnerships · About the Department · Who We Are · In cities across the country, people face high rates of gun violence, under-resourced schools, and social harms associated with the criminal justice system - all of which disproportionately impac ...

  • University of Chicago

    Compliance Associate

    3 weeks ago

    University of Chicago Chicago, United States

    Department · UL Crime Ed Lab Data Partnerships · About the Department · Who We Are · In cities across the country, people face high rates of gun violence, under-resourced schools, and social harms associated with the criminal justice system - all of which disproportionately i ...

  • Rothschild Investment Corporation

    Compliance Associate

    4 weeks ago

    Rothschild Investment Corporation Chicago, United States

    We'll be hiring a compliance/operations associate. Responsible for tasks involving Broker Dealer and Registered Investment Advisor regulatory compliance. · The ideal person will be detail-oriented, while also having a strong desire to take charge and build out our internal compl ...

  • The University of Chicago

    Compliance Associate

    3 weeks ago

    The University of Chicago Chicago, United States

    Department · UL Crime Ed Lab Data Partnerships · About the Department · Who We Are · In cities across the country, people face high rates of gun violence, under-resourced schools, and social harms associated with the criminal justice system – all of which disproportionately im ...

  • Jump Trading

    Compliance Associate

    2 weeks ago

    Jump Trading Chicago, United States

    Jump Trading Group is committed to world class research. We empower exceptional talents in Mathematics, Physics, and Computer Science to seek scientific boundaries, push through them, and apply cutting edge research to global financial markets. Our culture is unique. Constant inn ...

  • Larson Maddox

    Compliance Associate

    3 weeks ago

    Larson Maddox Chicago, United States

    Direct message the job poster from Larson Maddox · Senior Regulatory Recruitment Consultant at Larson Maddox · Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals ...

  • EPM Scientific

    Senior Compliance Associate

    4 weeks ago

    EPM Scientific Chicago, United States

    We have a current opportunity for a Senior Compliance Associate on a permanent basis. The position will be based in Chicago. For further information about this position please apply. · The Senior Compliance Associate plays a pivotal role in administering the Compliance Program fo ...

  • Jupiter Power

    Regulatory Compliance Associate

    5 hours ago

    Jupiter Power Chicago, United States

    Job Description · Job DescriptionJupiter Power is an energy infrastructure company focused on the development, construction, and operation of energy storage assets in wholesale electricity markets. Formed in 2017, the company is a national leader in energy storage deployment, uti ...

  • Monroe Capital Corporation

    Senior Compliance Associate

    4 weeks ago

    Monroe Capital Corporation Chicago, United States

    About the Company: · Monroe Capital is a private credit asset management firm specializing in direct lending and opportunistic private credit investing. Since 2004, the firm has provided private credit solutions to borrowers in the U.S. and Canada. Monroe's middle market lending ...

  • IQ-EQ

    Associate - Compliance (Hybrid)

    2 weeks ago

    IQ-EQ Chicago, United States

    Company Description · IQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regula ...

  • Chicago Financial Search

    Compliance Associate

    4 weeks ago

    Chicago Financial Search Chicago, United States

    Compliance Associate · Chicago - Onsite · This role is onsite and requires a candidate local to the Chicagoland area. · About The Role: · We are looking for a highly motivated compliance associate working with CCO directly to manage its FCM and CPO/CTA compliance matters. You ...

  • Slate Asset Management

    Associate, Compliance

    4 weeks ago

    Slate Asset Management Chicago, United States

    Associate, Compliance · Slate Asset Management · Chicago, Illinois, United States · About Slate Asset Management · Slate Asset Management is a leading real estate focused alternative investment platform with approximately US$10 billion in assets under management. Slate is a ...