1408 compliance analyst jobs found

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...

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 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 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...

Purpose of the role: The Compliance Analyst will be responsible for d elivering regulatory oversight of changes applicable to the Firm with focus on Financial Promotions within the investment services sector; providing support to the review and approval of financial promotions to the Spanish Branch of CMC Markets Germany GmbH. THIS IS A PART TIME ROLE (20 Hrs a week). Tasks & Responsibilities The Compliance Analyst will provide regulatory support and guidance on financial promotions, customer communications, fund offering documentation and website/social media content to all areas of the business. Support the development and delivery of policies, procedures and reporting in line with regulatory requirements. The Compliance Analyst will have responsibility for the approval of any client facing advertising or promotional material and company stationery, following CMC Markets Spain Branch Advertising Policy and CNMV guidelines. Maintain the Standard Level...

Senior Operational Compliance Analyst (Exchange Operations) We are looking for an experienced Operational Compliance professional to join a constantly growing and innovative FinTech company where finance and technology meet, producing some of the most low-latency, high-performance and data-intensive systems in the world. As a Senior Operational Compliance Analyst in European Market Operations, you will work with Business Continuity Management and Operational Risk Management, Privacy related matters, Operational Compliance with certain exchange regulations, and with administering outsourcing agreements. The role relates to the operations of the Nasdaq Nordic and Baltic exchanges, and you will collaborate with managers and specialists in the European Market Operations department and with the Technology Operations, Compliance, Legal and Group Risk Management departments. Responsibilities: Ensuring updates of the Business Continuity Plan (BCP) of the function (testing...

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...

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 Real Time Data department, particular areas of focus to include: Account manage all Real Time clients (approx. 4500) and create an on-going end user relationship to maintain all clients are billed correctly Managing the Market Data Reporting Email Inbox, ensuring all emails are logged and respond in a timely manner. This involves assigning queries to the right teams for investigation, monitoring outstanding...

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...

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 Real Time Data department, particular areas of focus to include: Account manage all Real Time clients (approx. 4500) and create an on-going end user relationship to maintain all clients are billed correctly Managing the Market Data Reporting Email Inbox, ensuring all emails are logged and respond in a timely manner. This involves assigning queries to the right teams for investigation, monitoring outstanding...

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...

Key Responsibilities: Monitoring and interpreting regulatory developments and advising on business impact and necessary process changes; Assist the SMF16/17 on liaison with the regulators and the NCA; Researching regulations and legislations; acting as advisory support to the Head of Compliance and the firm; Monitoring and completion of ongoing Compliance Monitoring Program obligations, such as Best Execution, TCF, Onboarding reviews and Complaints’ handling; Assisting with any regulatory matters, including AML/CDD, MAR, MiFID II, SMCR, PRIIPs; Development and management of accurate data analyses to enable the Head of Compliance to report to the Executive Committee and Board on key risks, issues and actions taken; Development and the ongoing maintenance of policies and procedures to ensure the firm remains compliant with regulations; Assisting with complaints handling for all complaints made against the Firm, its members and/or its staff;...

About OKX: OKX is a world-leading digital asset trading platform, providing advanced financial services to traders globally by using blockchain technology. OKX provides hundreds of token & futures trading pairs to help traders to optimise their strategy. We are also one of the top digital asset trading platforms by trading volume, serving millions of users in over 100 countries. OKX derivatives remains a top-notch venue globally and has a daily volume of approximately $10 billion and is widely recognised as the golden standard in the industry. We believe the blockchain technology will eliminate barriers to transactions, increase the efficiency of transactions across society, and eventually have a significant impact on the global economy. We strive to make innovative achievements that change the world and never stop to improve on our customer experience. About the Opportunity: The successful candidate will have prior AML transaction monitoring and investigations...

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...

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...

At Plaid, our mission is to unlock financial freedom for everyone.  There has never been a better time than now to start building the future of fintech with us. Plaid powers the tools millions of people rely on to live a healthier financial life. We work with thousands of companies like Venmo, SoFi, and Betterment, several of the Fortune 500, and many of the largest banks to make it easy for people to connect their financial accounts to the apps and services they want to use. Plaid’s network covers 12,000 financial institutions across the US, Canada, UK and Europe. Founded in 2013, the company is headquartered in San Francisco with offices in New York, Salt Lake City, Washington D.C., London and Amsterdam. #LI-Remote The Security Compliance Team at Plaid is a cross functional team whose responsibility is to enable the business by mitigating security and privacy risks by maintaining controls that ensure trust in the platform. Plaid is looking for a Risk Analyst to help us...

Job Description  Interactive Brokers is looking for a motivated, data professional to support the implementation of Data Lineage and Data Governance efforts. Responsibilities The Senior Compliance Data Analyst’s primary focus will be to: Support the continued adoption of the Interactive Brokers Data policies and procedures with a focus on data leveraged by Compliance Collaborate with technical and business stakeholders to coordinate the identification of key data elements and the production of Data Lineage maps Produce source to destination data maps for AML compliance reports and systems Support the buildout and management of the data catalog, business glossaries, and the associated metadata that serve as the enterprise repository for understanding and governing information across the organization Design periodic and adhoc supervisory reports and complete associated reviews Implement internal control enhancements and appropriately solution potential...

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...

Why Nasdaq When you work at Nasdaq, you’re working for more open and transparent markets so that more people can access opportunities. Connections can be made, jobs can be created, and communities can thrive. We want all our employees to have access to opportunity, too. That means planning for career growth, ensuring you have the tools you need, and promoting an inclusive culture where we’re all valued for our unique perspective. Here, you will work for a global tech leader committed to breaking down barriers to inclusive prosperity. We see technology as a means to free people up to work together more productively and effectively by centralizing data, analytics, and market intelligence. Here, we’re committed to building a more diverse and inclusive workforce. Not only is it our responsibility to do better, but we also need representative voices to power the fresh thinking that is vital for our business and our clients. What we offer Our Nasdaq Trade Surveillance...

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...

Excited to grow your career? Our purpose is to 'empower people to save and invest with confidence'. We are looking for great people to join us, so please come and invest in YOUR future at Hargreaves Lansdown. About the role The Senior CASS oversight Analyst will support the CASS Oversight function holder to maintain and enhance CASS and EMR/PSR safeguarding compliance across the Hargreaves Lansdown (HL) group. Working flexibly and collaboratively to help maintain and develop our regulatory control environments and deliver positive outcomes for clients, colleagues and the business. What you’ll be doing The CASS Oversight team support the Head of CASS Oversight, who is responsible for the CASS Oversight FCA certification function for Hargreaves Lansdown. This role is accountable for supporting more senior members of the department with the following:   Take a lead on some oversight and change queries and issues Support, coach and influence CASS Oversight...

Excited to grow your career? Our purpose is to 'empower people to save and invest with confidence'. We are looking for great people to join us, so please come and invest in YOUR future at Hargreaves Lansdown. About the role The Senior IAM Analyst is a specialist role focusing on advancing logical access governance across the organisation, providing assurance through governance and compliance activities and minimising and documenting risk. This requires a mixture of technical skills, knowledge and experience and interpersonal skills. What you will be doing To carry out IAM tasks including access recertification, dip checks and control testing To work with other teams across Digital and the wider business to ensure IAM processes are being followed, including with new applications being onboarded To assist with the creation and maintenance of role profiles and progress RBAC To support project work and automation with our IAM and PAM toolkits, OneIdentity...