1154 compliance analyst jobs found

Job Description Building trusted markets —powered by our people. At Cboe Europe, we inspire our people to solve complex challenges together because what we do matters. We provide the financial infrastructure that powers the global economy. As a leading provider of market infrastructure and tradable products, Cboe delivers cutting-edge trading, clearing and investment solutions to market participants around the world. We’re building inclusive ways to support professional and personal development while strengthening the trust we’ve earned as a global market leader. Our teams are empowered to share ideas, actively pursue them and bring on a challenge. As champions of internal mobility and access to opportunity, we encourage our people to “go for it” and equip our managers with the training to coach their teams to the next level. Our Associate Resource Groups champion diversity, equity and inclusion, giving associates a safe space to network, share ideas and create...

Job Description: About us: Dow Jones is a global provider of news and business information, delivering content to consumers and organizations around the world across multiple formats, including print, digital, mobile and live events. Dow Jones has produced unrivaled quality content for more than 130 years and today has one of the world's largest news-gathering operations globally. It is home to leading publications and products including the flagship Wall Street Journal, America's largest newspaper by paid circulation; Barron's, MarketWatch, Mansion Global, Financial News, Investor's Business Daily, Factiva, Dow Jones Risk & Compliance, Dow Jones Newswires, OPIS and Chemical Market Analytics. Dow Jones is a division of News Corp (Nasdaq: NWS, NWSA; ASX: NWS, NWSLV). About the Role The Finance team is responsible for global financial support in four key areas: Global Financial Operations (GFO), Financial Management Accounting (FMA), Tax and Financial Planning and...

Interactive Brokers is looking to hire a Compliance Analyst in our office in Chicago, IL. Analysts will report to a Compliance Manager  in our Chicago office and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. Responsibilities Conducting ongoing review analysis of clients’ KYC profile and transactions in accordance with established procedures in line with IBKR policy Advising management by collecting, analyzing, and summarizing data and trends.  Maintain accurate tracking of assignments and request for documentation to ensure appropriate deadlines are met Contribute to streamlining current processes and identifying areas for improvement Perform negative news and public domain searches on high risk clients and related parties in different categories of EDD   Qualifications The ideal candidate will have some regulatory compliance experience...

Interactive Brokers is looking to hire a Senior Compliance Analyst in the EDD team in our office in Chicago, IL. Analysts will report to a Compliance Manager  in our Chicago office and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. Responsibilities Conducting ongoing review analysis of clients’ KYC profile and transactions in accordance with established procedures in line with IBKR policy Advising management by collecting, analyzing, and summarizing data and trends.  Maintain accurate tracking of assignments and request for documentation to ensure appropriate deadlines are met Contribute to streamlining current processes and identifying areas for improvement Perform negative news and public domain searches on high risk clients and related parties in different categories of EDD   Qualifications The ideal candidate will have some regulatory...

Job Description & Responsibilities Interactive Brokers is looking to hire a Compliance Manager / Analyst for the APAC region in Hong Kong. The position will report to the Director of Regulatory Correspondence, APAC. The primary responsibilities for this role include: Act as the liaison person to interact with regulators and other financial services regulatory agencies; Assist in coordinating regulatory inspections, self-assessments and regulatory surveys for APAC entities to ensure timely and quality submissions. Assist in the information gathering and drafting of written responses to regulatory enquiries, questionnaires, and consultations for IBKR’s APAC entities. Keep abreast of new regulations and updates and disseminate regulatory notices, circulars, and other regulatory developments to management, compliance teams within the APAC region and relevant stakeholders. Assist in coordinating and handling Compliance related requests from internal and external...

Airwallex is the leading financial technology platform for modern businesses growing beyond borders. With one of the world’s most powerful payments and banking infrastructure, our technology empowers businesses of all sizes to accept payments, move money globally, and simplify their financial operations, all in one single platform.  Established in 2015 in Melbourne, our purpose is to connect entrepreneurs, business builders, makers and creators with opportunities in every corner of the world. Today, Airwallex has a global footprint across Asia-Pacific, Europe, and North America. Reporting to the Senior Counsel (Regulatory Compliance & Licensing) based in Australia, this role will have a strong focus on providing cutting-edge advice on complex regulatory and licensing issues in Australia and around the world. As a Senior Regulatory Compliance Analyst, you will be a valuable member of a global team. You will be given the opportunity to support a rapidly growing business...

Interactive Brokers is looking to hire a Compliance Analyst in our Trade Surveillance team at the Chicago Office. This is a position with excellent growth potential for highly motivated and exceptional performers with the possibility to turn to a permanent role. Analysts will report to a Compliance Manager and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. Day-to-day responsibilities include: Conducting reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if activity is in line with IBKR policy Advising management by collecting, analyzing, and summarizing data and trends.  Preparing regulatory filings Contribute to streamlining current processes and identifying areas for improvement Review trading data for suspicious activity or patterns of unusual trading The ideal...

Calling all innovators – find your future at Fiserv. We’re Fiserv, a global leader in Fintech and payments, and we move money and information in a way that moves the world. We connect financial institutions, corporations, merchants, and consumers to one another millions of times a day – quickly, reliably, and securely. Any time you swipe your credit card, pay through a mobile app, or withdraw money from the bank, we’re involved. If you want to make an impact on a global scale, come make a difference at Fiserv. Job Title Analyst, Financial Crimes Compliance Job Purpose What does a Financial Crimes Compliance Analyst do? To be successful in this role, you will have an in-depth knowledge of the regulatory and compliance requirements for high-risk verticals including but not limited to gaming, sports wagering, money services businesses, and cryptocurrency. The role will mitigate risk exposure to the company by identifying activity that poses potential for...

The Company Virtu is an industry-leading financial technology firm that operates both proprietary trading and client-facing businesses in the global financial marketplace. Our cutting edge, proprietary technology is core to everything we do. Virtu trades in over 35 countries, across 235 financial exchanges. Our culture combines the creativity of a fast paced start up, with the stability of a disciplined financial services firm. We are a flat organisation and encourage our people to innovate and lean on their teammates for support and collaboration. The Role The European Compliance Function (“Compliance”) is seeking an ambitious Compliance Analyst to join its growing team based in our Dublin office. The role will report into the European Head of Compliance and other group stakeholders and will be heavily focused towards data analytics and the development of tools to assist Compliance operate more effectively. Compliance oversees the compliance program for a number of...

Interactive Brokers is looking to hire several Compliance Analysts (temps) in its Chicago, Illinois office.  This is an entry-level position with excellent growth potential for highly motivated and exceptional performers.  Analysts will report to a Compliance Manager and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry anti-money laundering, and securities laws and regulations. Day-to-day responsibilities include: Preparing regulatory response letters Gathering customer account records and documents responsive to law enforcement and regulatory inquiries Coordinating with compliance analysts to help complete regulatory investigations Identifying areas for improvement and streamlining current processes and workflows Drafting and updating procedures, as necessary The ideal candidate will have some experience in an internal audit, legal, accounting, or other control function of a financial...

Interactive Brokers is looking to hire Compliance Analysts for a temp project. This position is in Chicago, IL. Analysts will report to a Compliance Team Lead and help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. Day-to-day responsibilities include: Conducting reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if the activity is in line with IBKR policy Advising management by collecting, analyzing, and summarizing data and trends.  Preparing regulatory filings Contribute to streamlining current processes and identifying areas for improvement Review trading data for suspicious activity or patterns of unusual trading The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission...

Interactive Brokers is looking to hire several Regulatory Analysts in its Chicago, Illinois office.  This is an entry-level position with excellent growth potential for highly motivated and exceptional performers.  Analysts will report to a Compliance Manager and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry anti-money laundering, and securities laws and regulations. Day-to-day responsibilities include: Preparing regulatory response letters Gathering customer account records and documents responsive to law enforcement and regulatory inquiries Coordinating with compliance analysts to help complete regulatory investigations Identifying areas for improvement and streamlining current processes and workflows Drafting and updating procedures, as necessary The ideal candidate will have some experience in an internal audit, legal, accounting, or other control function of a financial services...

Responsibilities Investigate the alerts cases from transaction monitoring rules and prepare the Suspicious Transaction Reports Ensure the quality of the investigations Ensure the investigations are concluded within a required timeline. Achieve the target productivity benchmarks in respect of the investigations Conduct name screening and data matching of suspicious transactions in order to identify potential money laundering or terrorist financing activitiesInvestigate and analyze transactions that require further scrutiny Maintain accurate and complete records of all investigation and findings Take up ad-hoc tasks to identify and manage potential risk exposure of the exchange platform and escalate significant issues to seniors in a swift manner Be responsive to queries about the investigations and related risk-mitigation measures raised by Business and Support Units Requirements Bachelor’s Degree in Accountancy, Banking, Business or Law Minimum 1 year of experience...

Investigate the alerts cases from transaction monitoring rules and prepare the Suspicious Transaction Reports Ensure the quality of the investigations Ensure the investigations are concluded within a required timeline. Achieve the target productivity benchmarks in respect of the investigations Conduct name screening and data matching of suspicious transactions in order to identify potential money laundering or terrorist financing activities Investigate and analyze transactions that require further scrutiny Maintain accurate and complete records of all investigation and findings Take up ad-hoc tasks to identify and manage potential risk exposure of the exchange platform and escalate significant issues to seniors in a swift manner Be responsive to queries about the investigations and related risk mitigation measures raised by Business and Support Units Requirements Bachelor’s Degree in Accountancy, Banking, Business or Law Minimum 1 year of...

Job Description and Responsibilities Assist the European Compliance team in obtaining required Enhanced Due Diligence information/client documents. Communicate and follow up regularly with clients in case of any pending queries or documents. Track client responses on pending cases. Perform basic KYC documentation checks and, if necessary, request additional information. Regularly communicate with the European Compliance team and provide status updates. Desired Skills Detail oriented Good at tracking and chasing cases. Excellent communication skills Organized and able to follow the procedures KYC knowledge is an advantage Company Benefits & Perks Competitive salary package. Performance-based annual bonus ( cash and stocks ). Hybrid working model ( 3 days office/week ). Group Medical & Life Insurance. Modern offices with free amenities & fully stocked cafeterias. Monthly food card...

Interactive Brokers is looking to hire a Compliance Analyst at the Chicago Office. This is a position with excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Compliance Manager and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. Day-to-day responsibilities include: Conducting reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if activity is in line with IBKR policy Advising management by collecting, analyzing, and summarizing data and trends.  Preparing regulatory filings Contribute to streamlining current processes and identifying areas for improvement Review trading data for suspicious activity or patterns of unusual trading The ideal candidate will have 2-5 years regulatory compliance experience working for an...

Job Title Compliance Assurance Analyst with French and Arabic Job Description Join the game-changers: We are looking for a Compliance Assurance Analyst to join our Global Compliance Assurance Team. Reporting to the Compliance Assurance Team Leader, you will be working in the Compliance Assurance Team in Krakow and closely collaborating with Compliance Teams across the world. You will be involved in various areas of Compliance across the business (including, but not limited to marketing, client services, sales, product design and appropriateness, client money, client reporting, governance, trading and execution, employee training and competence, outsourcing and third parties). What you will do: Responsibilities: Compliance monitoring of front office interactions for Arabic and/or French speaking client facing teams, evaluation of findings and follow up for recommendations for change. Monitoring the Group's compliance with relevant regulatory obligations,...

We are  Ramp , a  well-funded scaleup  that makes the Web3 world a reality 🚀 Role Overview As a new Data Team in Ramp, we are starting with data integration, sustainable Descriptive analytics and A/B testing. But we are rapidly moving towards Predictive and Prescriptive analytics. You will be working closely with the Product, Design, and Engineering Teams to make high-impact, data-informed decisions regarding future product development. You will be working on one of the Product Areas such as End-User, Partners, Business Operations (e.g. Anti Money Laundering (e.g. KYC, KYT, Name Screening); Fraud prevention rulesets; Treasury) and on Ramp’s business KPIs.   Your future work will include: working with transactional data (crypto transactions); KYC and AML data; event-based analytics with GA4 data; data from customer support, customer feedback apps and many more to come. And not only with data - you will cooperate with smiling and friendly people all over the...

We are  Ramp , a  well-funded scaleup  that makes the Web3 world a reality 🚀 Role Overview We’re looking for a Senior Analyst to contribute to the continuous improvement, independent review, effective challenge, tuning and validation of all Risk & Compliance decision-making models, with an emphasis on Financial Crime related models. This is a hands-on role which will work closely with leaders in the Risk & Compliance, Product, Data, and Engineering teams as well as other departments across the entire company and across multiple time zones.   Your future work will include: Managing and monitoring Risk & Compliance decision making models including Fraud and AML transaction monitoring rules, customer risk rating models, partner risk rating models, and fraud machine learning models and rules; Establishing baseline metrics for strategies and track actual performance to expectations by analysing large datasets; Collaborating with Product and...

At Coinbase, our mission is to increase economic freedom around the world , and we couldn’t do this without hiring the best people. We’re a group of hard-working overachievers who are deeply focused on building the future of finance and Web3 for our users across the globe, whether they’re trading, storing, staking or using crypto. Know those people who always lead the group project? That’s us. There are a few things we look for across all hires we make at Coinbase, regardless of role or team. First, we look for candidates who will thrive in a culture like ours, where we default to trust, embrace feedback, and disrupt ourselves. Second, we expect all employees to commit to our mission-focused approach to our work. Finally, we seek people who are excited to learn about and live crypto, because those are the folks who enjoy the intense moments in our sprint and recharge work culture. We’re a remote-first company looking to hire the absolute best talent all...

S&P Global Market Intelligence The Role: Compliance Services Analyst – Early Careers The Team: S&P Global’s Managed Data Services aims to provide the highest level of accuracy, visibility, and efficiency to our clients who work within the Private Capital Markets. We empower a diverse spectrum of private equity and venture capital firms to more effectively control their data and drive internal analytics and insights. Whether it is for portfolio analytics, valuations, investor reporting, or on-demand insight into operating metrics of a specific asset, this team is at the forefront of the FinTech space. The Impact: The Compliance Services platform is experiencing significant organic growth in business from existing clients and targeting to bring on additional business from new sales. Given the direct interface Account Analysts have with clients, proper team coverage and subject matter knowledge on CLOs is critical to delivering premium support. What’s in...

Airwallex is the leading financial technology platform for modern businesses growing beyond borders. With one of the world’s most powerful payments and banking infrastructure, our technology empowers businesses of all sizes to accept payments, move money globally, and simplify their financial operations, all in one single platform. Established in 2015 in Melbourne, our purpose is to connect entrepreneurs, business builders, makers and creators with opportunities in every corner of the world. Today, Airwallex has a global footprint across Asia-Pacific, Europe, and North America. Based out of  our Lithuania office, this role will work closely with other members of the regional and global Compliance Operations, Financial Crime Compliance and Operations Strategy teamsto ensure that Airwallex meets all of its Know Your Customer (KYC)-related regulatory obligations, in line with our risk appetite and culture of compliance -- all the while helping to ensure that current and...

Who We Are At OKX, we believe our future is reshaped with technology. Founded in 2017, OKX is one of the world's leading cryptocurrency spot and derivatives exchanges. OKX innovatively adopted blockchain technology to reshape the financial ecosystem by offering some of the most diverse and sophisticated products, solutions, and trading tools on the market. Trusted by more than 20 million users in over 180 regions globally, OKX strives to provide an engaging platform that empowers every individual to explore the world of crypto. In addition to its world-class DeFi exchange, OKX serves its users with OKX Insights, a research arm that is at the cutting edge of the latest trends in the cryptocurrency industry. With its extensive range of crypto products and services, and unwavering commitment to innovation, OKX vision is a world of financial access backed by blockchain and the power of decentralized finance. We invest in our people as much as we invest in technology. We are...

Job Description: Quality Analyst, Risk & Compliance   We are looking for a Quality Analyst to join our Risk & Compliance (R&C) Quality team of 9 Quality Analysts. The team is embedded with the various Risk & Compliance research teams to create, maintain and oversee quality standards. The team is also responsible for providing feedback and guidance to ensure process adherence focusing on post- product quality management. As a Quality Analyst, you will oversee the governance of quality standards, coordinate quality monitoring, provide feedback and remedial action. This role will embed with the various global R&C research teams to develop and implement quality, timeliness and completeness monitoring programmes across the content sets in the Dow Jones Risk & Compliance database.  You will report to the Manager, R&C Quality.    You Will Develop and implement quality control best practices across a range of content sets in...