1111 compliance analyst jobs found

The Role: Privacy Compliance Analyst The Grade/Level: (relevant for internal applicants only) 9 The Location: This role can be virtual or located in any of our offices globally The Team: The Information Governance and Data Privacy Compliance team manage S&P Global sensitive, personal, and non-personal information. We accomplish this through implementation of policies, processes, controls, and metrics that promote compliance with global regulations. The Impact: This role will support our enterprise privacy function, working with each of our divisions and corporate functions to operationalize our data privacy and information governance program. The Privacy Compliance Analyst will have oversight of our data privacy governance tool and drive our privacy impact assessments for new projects, assets, systems, and products. You will also assist in the day-to-day operations of the team and advancing the strategic initiatives of our information governance and data...

About FlexTrade FlexTrade Systems is a global leader in high performance multi-asset execution management and order management systems for equities, fixed income, foreign exchange, futures, and options. A pioneer in the field, FlexTrade is internationally recognized for introducing FlexTRADER®, the world’s first broker-neutral, execution management trading system, which allows clients to completely control and customize their execution workflows through a comprehensive ability to search/access liquidity while maintaining the confidentiality of their trading strategies. The Team The Global Information Security team’s mission is to ensure FlexTrade and Client’s security globally and to ensure solutions implemented by FlexTraders are secure and fulfill FlexTrade’s mission – Trade Your Best. About You FlexTrade Global Information Security is looking for a Compliance Analyst who loves what they do. Reporting to the GRC Manager, you’ll work with...

Interactive Brokers is looking to hire a Compliance Analyst at the Chicago 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 AML, and securities laws and regulations. Day-to-day responsibilities include: Manage multiple queues of real-time transactions and reference data alerts against sanctions watch-list administered by US and International regulatory bodies 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 supplementary sanctions due diligence and research for complex sanctions investigations...

Interactive Brokers is looking to hire a Compliance Analyst at the Chicago Office. This is an entry-level position with excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Compliance Team Lead 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 some regulatory compliance experience working...

Interactive Brokers is looking to hire a Compliance Analyst in its Chicago, Illinois office.   The Compliance Analyst role offers 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 (“AML”), and securities laws and regulations.  The Compliance Analyst will perform in-depth investigations for purposes of identifying potentially suspicious activity related to financial crimes such as embezzlement, money laundering, insider trading, market manipulation, or other fraudulent activities. Day-to-day responsibilities include: Drive in-depth investigations of customer account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to completion Produce written reports that provide assessments of potentially suspicious...

ThinkMarkets is a global financial technology company, specializing in providing multi-asset trading solutions to thousands of clients around the world. With our flagship ThinkTrader platform, we make it available for our clients to trade the world 24-hours a day. Our mission is to bridge the gap between traders, investors, and platforms by allowing access to global markets and thousands of products thus providing our clients the ability to trade the world in the palm of their hand. We use the latest technologies to give traders seamless access to our proprietary trading platforms. We are seeking a Compliance Analyst to join our rapidly growing global workforce in London. This role will have a great deal of emphasis on the general Compliance aspects as well as the documentation function. The Compliance Analyst will support the Global Head of Compliance to ensure the firm exceeds its expectations and nurtures a culture of strong Compliance and Risk Management. Responsibilities:...

Interactive Brokers is looking to hire a full-time Quality Assurance Compliance Analyst at the Chicago Office. This position has excellent growth potential for highly motivated and exceptional performers. Quality Assurance Compliance Analysts will report to a Quality Assurance Compliance 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 quality assurance 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. Conduct quality assurance reviews on regulatory filings related to AML & Financial Crime Risk activities Contribute to streamlining current processes and identifying areas...

Interactive Brokers is looking to hire a full-time Quality Assurance 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 Quality Assurance 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 quality assurance 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. Conduce quality assurance on regulatory filings Contribute to streamlining current processes and identifying areas for improvement Review trading...

Binance is the global blockchain company behind the world’s largest digital asset exchange by trading volume and users, serving a greater mission to accelerate cryptocurrency adoption and increase the freedom of money. Are you looking to be a part of the most influential company in the blockchain industry and contribute to the crypto-currency revolution that is changing the world? In very little time, Binance has become the no. 1 global crypto-currency exchange in the world. Are you looking to be a part of one of the most influential companies in the blockchain industry and contribute to the crypto-currency revolution that is changing the world? We are seeking a corporate onboarding analyst to support our expansion into all global frontiers and provide support on compliance operations, remotely.    Responsibilities Manage personal workload and priority items and ensure timely escalation of key risks/issues to management; Handle, review and verify all...

Role Profile The Real Time Data Business is a critical function to retain and grow revenues cross existing products and services. In addition, the function is tasked with growing revenues by diversifying into new product development and commercial partnerships to benefit the London Stock Exchange Group’s market data business. Key Responsibilities Act as a primary point of contact on behalf of the Real Time Data team in relation to queries, reconciliation and all static data changes made on Real Time accounts and manage the regular requirements relating to the department, particular areas of focus include: Handling all Real Time clients (approx. 4500) and build an on-going end user relationship to maintain all clients are billed accurately. Handling the Client Support Email Inbox, ensuring all emails are responded in a timely manner, e.g. assigning queries to the right teams for investigation, monitoring outstanding queries; ensuring clients receive regular updates...

Role PurposeSupports the Market Data Team throughout the delivery of key processes, policies, and targets for vendor data acquisition or usage review function globally, which includes audit work and sales forecasting.Role Responsibilities- Supports the project teams with inventory build-out, planning and integration of market data license agreements across key suppliers and exchanges for any new and potential future vendor acquisitions by the business- Develops relationships with data suppliers and stock exchanges globally, identifying opportunities for cost savings or audit work, tracking and reporting this appropriately- Provides LSEG with market intelligence gathering for alternative and new sources of data suppliers and market data practices in the industry- Develops understanding of LSEG policy issues, and assists in implementing compliance policies and procedures in relation to market data for both internal and client use of data- Works with end users across LSEG to understand...

At Xe, we live currencies. We provide a comprehensive range of currency services and products, including our Currency Converter, Market Analysis, Currency Data API and quick, easy, secure Money Transfers for individuals and businesses. We leverage technology to deliver these services through our website, mobile apps and by phone. Last year, we helped nearly 300 million people access information about the currencies that matter to them and over 150,000 people used us to send money overseas. Thousands of businesses relied on us for information about the currency markets, advice on managing their foreign exchange risk or trusted us with their business-critical international payments. At XE, we share the belief that behind every currency exchange, query or transaction is a person or business trying to accomplish something important, so we work together to develop new and better currency services that put our customers first. We are proud to be part of Euronet Worldwide (Nasdaq: EEFT),...

Binance is the global blockchain company behind the world’s largest digital asset exchange by trading volume and users, serving a greater mission to accelerate cryptocurrency adoption and increase the freedom of money. Are you looking to be a part of the most influential company in the blockchain industry and contribute to the crypto-currency revolution that is changing the world?   Responsibilities Completion of EDD reviews for high risk customers Assessing high-risk customer transaction activity to ensure it is commensurate with the nature of the business  Conducting  risk assessments on new and existing customers Leading projects related to EDD enhancements Remain current on global EDD standards such as FATF, as well as local requirements in regions that the company operates Provide AML/CFT subject matter expertise Manage high risk customer escalations from the first line of defence and other business units Drafting of documentation including, but...

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 decentralised finance. We invest in our people as much as we invest in the technology. We...

 Job Description  Interactive Brokers is looking for a motivated, financial services professional with knowledge of brokerage industry regulations for securities and commodities, and experience with compliance, internal controls and risk management. Responsibilities The Senior Compliance Analyst’s primary focus will be to: Support compliance coverage of the firm’s technology and data enterprise, and coverage for broker-dealer clients Design periodic and adhoc supervisory reports and complete associated reviews Engage with stakeholders across technology and operations teams and support them in an advisory capacity Implement internal control enhancements and appropriately solution potential compliance matters Assist draft business specifications to create and improve surveillance and compliance tools Assist coordinate responses to regulatory inquiries from foreign and US regulators Draft and implement firm policies, controls and written supervisory procedures...

Binance is the global blockchain company behind the world’s largest digital asset exchange by trading volume and users, serving a greater mission to accelerate cryptocurrency adoption and increase the freedom of money. Are you looking to be a part of the most influential company in the blockchain industry and contribute to the crypto-currency revolution that is changing the world? This role is situated within the Compliance department on the Banking Partner team. The role is critical in ensuring that Binance maintains fiat rails and does so by responding to requests for information (RFIs) that are received from said banking partners.   Responsibilities: Collecting and verifying KYC/KYB information; Conducting additional due diligence on customers; Assessing customer risk and identifying potential red flags; Responding to banking partner requests; Coordinate with the internal and external business units on process enhancements, requirements, 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 decentralised finance. We invest in our people as much as we invest in the technology. We...

Binance is the global blockchain company behind the world’s largest digital asset exchange by trading volume and users, serving a greater mission to accelerate cryptocurrency adoption and increase the freedom of money. Are you looking to be a part of the most influential company in the blockchain industry and contribute to the crypto-currency revolution that is changing the world?   Responsibilities Be the deputy MLRO for Brazil / Compliance Analyst and the compliance point of contact towards fiat partners. Coordinate the RFIs received from fiat partner to ensure extraction and collection of relevant users’ data/ information. Preparation of required reporting packages based on users’ data and according to local regulatory standards. Lead the preparation of AML/KYC compliance reports related to virtual assets and FIAT transactions.  Handle and review assigned cases within available SLAs, including advising relevant stakeholders on next steps.  Maintain...

Blockchain.com is the world's leading software platform for digital assets. Offering the largest production blockchain platform in the world, we share the passion to code, create, and ultimately build an open, accessible and fair financial future, one piece of software at a time. We are looking for an outstanding compliance professional to join our fast-growing team as a Compliance KYC Analyst for EMEA. In this role, you will work closely across the compliance team and other functions in the company to provide support on compliance and regulatory matters focusing on financial crimes compliance. We are looking for a highly motivated, adaptable and collaborative person who can handle ambiguity and enjoys building. If you have experience in a fast-paced environment and are looking for an opportunity to be a member of an innovative compliance team in the crypto currency space, this is the perfect opportunity for you! Role: The KYC Analyst supports the Compliance KYC...

BE PART OF A BANK LIKE NO OTHER. When you work with the world's most innovative companies, you know you're making a difference. Our clients are the game changers, leaders and investors who fuel the global innovation economy. They're the businesses behind the next medical breakthroughs. And the visionaries whose new technologies could transform the way people live and work. They come to SVB for our expertise, deep network and nearly forty years of experience in the industries we serve, and to partner with diverse teams of passionate, enterprising SVBers, dedicated to an inclusive approach to helping them grow and succeed at every stage of their business. Join us at SVB and be part of bringing our clients' world-changing ideas to life. At SVB, we have the opportunity to grow and collectively make an impact by supporting the innovative clients and communities SVB serves. We pride ourselves in having both a diverse client roster and an equally diverse and inclusive...

BE PART OF A BANK LIKE NO OTHER. When you work with the world's most innovative companies, you know you're making a difference. Our clients are the game changers, leaders and investors who fuel the global innovation economy. They're the businesses behind the next medical breakthroughs. And the visionaries whose new technologies could transform the way people live and work. They come to SVB for our expertise, deep network and nearly forty years of experience in the industries we serve, and to partner with diverse teams of passionate, enterprising SVBers, dedicated to an inclusive approach to helping them grow and succeed at every stage of their business. Join us at SVB and be part of bringing our clients' world-changing ideas to life. At SVB, we have the opportunity to grow and collectively make an impact by supporting the innovative clients and communities SVB serves. We pride ourselves in having both a diverse client roster and an equally diverse and inclusive...

BE PART OF A BANK LIKE NO OTHER. When you work with the world's most innovative companies, you know you're making a difference. Our clients are the game changers, leaders and investors who fuel the global innovation economy. They're the businesses behind the next medical breakthroughs. And the visionaries whose new technologies could transform the way people live and work. They come to SVB for our expertise, deep network and nearly forty years of experience in the industries we serve, and to partner with diverse teams of passionate, enterprising SVBers, dedicated to an inclusive approach to helping them grow and succeed at every stage of their business. Join us at SVB and be part of bringing our clients' world-changing ideas to life. At SVB, we have the opportunity to grow and collectively make an impact by supporting the innovative clients and communities SVB serves. We pride ourselves in having both a diverse client roster and an equally diverse and inclusive...