26 legal jobs found in Chicago, IL

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 training The ideal candidate will have some regulatory compliance experience...

Interactive Brokers is looking to hire a Trade Surveillance Compliance Manager at its Chicago Office. This is a mid-level management position with room for growth for highly motivated and exceptional performers. The Compliance Manager will report to the Deputy Director of Trade Surveillance and will assist with ensuring the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, AML, and securities laws and regulations. Day-to-day responsibilities include: Oversee and train a team of analysts responsible for reviewing surveillance alerts and ad hoc investigations related to trade practice violations. Monitor and manage daily investigative workflow, controls, and metrics for the team, and ensure timely completion of tasks. Address escalations from analysts and review and approve Suspicious Activity Reports (“SAR”) related to trade surveillance reviews.    Develop and maintain clear and concise desktop procedures for your team’s...

We are seeking a Treasury RV Trader to join one of our trading teams. This is an excellent opportunity to be part of an established, highly successful and growing global team.  In this role, you will have ownership in overseeing UST positions across the curve, working in close coordination with the traders. The goal will be to impact the team’s long-term vision in taking risk and setting new levels in creating and impacting the desk’s P&L within treasury products. You will be passionate about taking responsibility in executing UST RV trades and maintaining predefined risk parameters.  Additionally, you’ll be an integral part of the team who will maintain and hedge other exposures relevant to the desk’s position taking, such as financing costs or curve risk. What You'll Do: Oversee a trading book and generate revenues while managing risk for the trade team Take ownership of valuing legacy CBOT treasury futures contracts  Appropriately assess risk when business...

Jump Crypto is committed to building and standing up critical infrastructure needed to catalyze the growth of the crypto ecosystem. We're builders, partners, and traders who take a long-term view of crypto's prospects and operate to unlock the full potential of open, community-driven networks. Since our inception as a skunkworks intern project in late 2015, we've grown into a dynamic and seasoned team of high performing players across a range of functions. Today, we play an important role in the development of some of the largest and most innovative crypto communities. Jump Crypto is the crypto division of Jump Trading Group, a research driven quantitative trading firm that's one of the largest traders by volume across traditional asset classes.  For more on our history, culture and the road ahead read our blog here . To learn more, please visit us at www.jumpcrypto.com  and follow us at @JumpCryptoHQ . What You’ll Do: Manage and track the investment lifecycle across...

The Paralegal role at Jump provides support for a rapidly growing company with diverse businesses including trading, blockchain development, venture capital, telecommunications, order execution, and more.  You will work with our global paralegal team on managing Jump’s complex corporate governance structure, onboarding counterparties and fulfilling “KYC” requests, and assisting on the wide range of projects tackled by Jump’s 15+ person legal team.  No two days at Jump are ever the same, creating an intellectually stimulating, exciting, and fast-paced environment where personal growth is prioritized.  To succeed in this rule you must be analytical and intellectually curious, careful and detail oriented, practical and resourceful, have sound judgment, take appropriate initiative, communicate clearly and succinctly, know when to escalate issues, and have excellent interpersonal skills to build relationships within and across offices and departments and with counterparties.  What...

Jump Crypto is committed to building and standing up critical infrastructure needed to catalyze the growth of the crypto ecosystem. We're builders, partners, and traders who take a long-term view of crypto's prospects and operate to unlock the full potential of open, community-driven networks. Since our inception as a skunkworks intern project in late 2015, we've grown into a dynamic and seasoned team of high performing players across a range of functions. Today, we play an important role in the development of some of the largest and most innovative crypto communities. Jump Crypto is the crypto division of Jump Trading Group, a research driven quantitative trading firm that's one of the largest traders by volume across traditional asset classes.  For more on our history, culture and the road ahead read our blog here . To learn more, please visit us at www.jumpcrypto.com  and follow us at @JumpCryptoHQ . What You’ll Do: Manage and track the investment lifecycle across...

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: Develop, maintain, and edit policies and procedures (libraries, templates, artifacts) across Compliance Units and Compliance functions. Collaborate directly with Compliance stakeholders to gain policies and procedures understanding and effect continuous policies and procedures updates. Develop, implement, and execute process improvement to the Compliance library. Track process improvements to compliance systems to ensure that updates to processes are incorporated into policies and procedures and communicated to Compliance...

Interactive Brokers is looking to hire Compliance Manager at the Chicago Office within the Financial Intelligence Unit -Regulatory Inquiries team. This is a mid-level management position with room for growth for highly motivated and exceptional performers. The Compliance Manager will report to a Compliance Unit Head 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 Oversee and train a team of analysts responsible for: Reviewing regulatory requests from federal and state governmental agencies and law enforcement (e.g., CFTC, SEC, DOJ, and state securities regulators) and self-regulatory organizations (e.g., FINRA, CME, NFA); Conducting investigations to determine whether suspicious activity reports (“SARs”) should be filed; and Escalating other red flags identified to senior management to determine appropriate actions to be taken....

FTX US is a US-regulated cryptocurrency exchange, built from the ground up. Its mission is for FTX US to grow the digital currency ecosystem, to offer US and international traders a platform that inspires their loyalty, and to become the market leading US regulated cryptocurrency exchange by volume within the next two years. We are looking for talented individuals to join our fast paced team to help us on this mission!   We're looking for an organized & detail oriented individual to facilitate end-to-end KYC onboarding for individual and institutional accounts. You will be responsible for reviewing and interpreting individual & corporate documentation to determine the nature of the business and ownership structures. You’ll perform sanctions/PEP screening and adverse media searches, review & escalate red flags and perform enhanced due diligence where necessary. You will also report on trends to Compliance Management in a timely manner & conduct transaction...

Job Description The Cboe Regulatory Division (the “Division”) is actively seeking a highly motivated individual to join our options investigations team and perform investigative activities to assist in determinations regarding possible violations of Cboe, Cboe C2, Cboe BZX, and Cboe EDGX Options Exchange (collectively, the “Exchanges”) Rules and other applicable rules and regulations governing Exchange Members and Trading Permit Holders (“TPH”). *Location - hybrid role. Can sit in either Chicago, IL or Lenexa, KS locations Responsibilities Conduct focused investigations of trading activities on the Exchanges to detect possible violations of Exchange Rules, By-Laws, and interpretations and policies, and the SEC rules and regulations thereunder, or other improper activities Independently manage investigations from inception to conclusion and completing investigation steps in a timely manner that meet expected guidelines Build and maintain a thorough understanding...

Job Description and Responsibilities Interactive Brokers LLC, has an immediate need for Compliance Analysts at our Chicago office. This is a temporary contract position. The requisition is for a six-month assignment (with a possibility of extension. IB, in its sole discretion, may offer a contractor a permanent position).  In the absence of direct industry experience, we will also consider applicants with excellent Bachelor’s-level educational credentials who have some background in law, accounting, computer science or similar areas with strong analytical and quantitative skills. Prepare Surveillance Report review and memorialization Regulatory Filings Assist with Anti Money Laundering Program Conduct Fraud Monitoring Develop knowledge about firm processes Advise management by collecting, analyzing, and summarizing data and trends.  Qualifications Trading experience or trading knowledge is required College degree is  required ....

The engineering team at Chainalysis is inspired by solving the hardest technical challenges and creating products that build trust in cryptocurrencies. We’re a global organization with teams in Denmark, the USA and the UK who thrive on the challenging work we do and doing it with other exceptionally talented teammates. Our industry changes every day and our job is to build a flexible platform that will allow us to adapt to those rapid changes.  The Director of Engineering, Compliance & Risk Products will lead and grow multiple teams who work on the products that build trust in blockchain for fintechs, dApp developers and Fortune 500 enterprises. They’re a trusted mentor to managers and engineers across the organization and vital partners for the Director of Product, working with them to develop the strategy for the team and the product. They are as comfortable in front of a whiteboard discussing architecture as they are building and measuring OKRs. They would rather make...

FTX US is a US-regulated cryptocurrency exchange, built from the ground up. Its mission is for FTX US to grow the digital currency ecosystem, to offer US and international traders a platform that inspires their loyalty, and to become the market leading US regulated cryptocurrency exchange by volume within the next two years. We are looking for talented individuals to join our fast paced team to help us on this mission!   We are looking for a Compliance Manager to help us prepare and file Suspicious Activity Reports (SARs) as well as manage the compliance programs, policies, reporting, and practices. In this role, you will be responsible for investigating, preparing and filing SARs, responding to law enforcement requests, regulatory filings,  and transaction monitoring. You will also maintain up to date knowledge on regulatory changes and industry landscape. This is an exciting opportunity to work with our exceptional Compliance and Legal teams!   What we're looking for:...

Interactive Brokers is looking for a motivated and talented compliance officer who is familiar with securities and commodities and foreign exchange regulation and has appropriate experience at a Futures Commision Merchant, regulatory agency, exchange or law firm. In particular, we are looking for someone with expertise in CFTC and NFA regulations as they pertain to futures and foreign exchange activity. Responsibilities: The Compliance Officer – Forex and Commodities will be responsible for: Providing compliance coverage for foreign exchange and commodities product offerings, including advising the business on compliance and regulatory issues. Handling regulatory issues related to Interactive Brokers foreign exchange and commodities product and system offerings. Drafting and implementing firm policies, controls, and written supervisory procedures, as well as conducting periodic testing. Meeting with and responding to examiners from the CME, NFA, CFTC, SEC, FINRA, and...

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...

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...

Interactive Brokers is looking to hire Compliance Manager at the Chicago Office. This is a mid-level management position with room for growth for highly motivated and exceptional performers. Team Leads will report to a Compliance Unit Head 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 Oversee and train a team of analysts responsible for monitoring reviews and investigations. Monitor and manage daily investigative workflow, controls, and results metrics for the team, and ensure timely completion of tasks. Engage senior management across corporate compliance, operations, and information technology to manage, report on, and improve investigative work. Conduct supervisory reviews and provide constructive coaching and direction to team members. Evaluate risk associated with AML and Financial Crime Risk processes and recommend...

Job Summary Interactive Brokers is looking for an individual to investigate and adjudicate on client complaints in a manner which is fair, professional and in compliance with regulatory requirements and internal policies The candidate should have an in-depth knowledge of the Consumer Protection Code and the complaints handling requirements contain therein. The candidate should possess knowledge of futures, options, CFDs and equities markets.  Key Responsibilities: Present a resolution for complaints which may relate to a variety of topics such as: Order routing, order status or execution inquiries such as non-execution, delayed or erroneous execution Funding issues such as deposit or withdrawal delays, third party fees on funding and processing of position transfers Statement and tax issues such as dividend reporting, cost basis issues and tax reporting discrepancies or Level of satisfaction with customer service received Ensure complaints are handled n a...

Interactive Brokers is looking to hire a Compliance Analyst at the Chicago or Greenwich Office. This is an entry-level position with excellent growth potential for highly motivated and exceptional performers.  The analysts will report to the Financial Advisor (“FA”) Compliance Team Lead and will assist with various initiatives relating to Interactive Brokers Financial Advisor program and clients. Responsibilities Supporting implementation of the firm’s financial advisor compliance program Responsible for conducting surveillance reviews pertaining to the firm’s financial advisor clients and platform Verifying that financial advisor clients maintain current and accurate registrations  Conducting ad hoc investigations relating to financial advisor activity, including trade activity, registrations, etc. Assisting with response to regulatory inquiries pertaining to the firm’s financial advisor clients and platform Coordinating with programmers and other personnel on...

We are ThinkMarkets. A global online asset-trading brokerage firm that specializes in providing trading solutions to thousands of clients worldwide. Our Chicago office, located in the financial district in the Loop, is home to our Senior Leadership, Trading, and Legal teams. We are seeking a Senior Executive Assistant to join our energetic and innovative workforce in Chicago. In this position, you will directly assist Senior Leadership in managing the office and tackling projects as they arise. We are looking for someone with a vibrant personality and a great sense of professionalism. Responsibilities: Provide administrative support to Senior Leadership by sitting in on and taking minutes during high-profile meetings, preparing important documents, handling communications between company executives, etc.   Handle occasional travel, reservation, and meeting requests for the Senior Leadership team Manage the office stock of kitchen snacks, drinks, stationery,...

Job Description The Role: Vice President, Marketing As our VP, Marketing, you’ll report to our SVP, Marketing & Communications and be at the center of defining and executing our market strategy and product positioning to shape the growth of Cboe. In this role you will provide deep domain knowledge in derivatives and product marketing expertise to drive synergies across brand management, lead generation strategies, innovative content and product marketing, demand generation, and sales enablement to deliver revenue enablement and capture. The successful VP, Marketing will be accountable for identifying the strategic objectives and business opportunities while implementing key metrics to track investments and results.  This leader possesses refined communication and leadership skills, with proven success in implementing innovative marketing campaigns across a diverse range of marketing channels. About You Curiosity drives your interest in what moves the...

Job Description Reporting to Cboe Digital’s Chief Legal Officer, the Senior Counsel will provide legal support for substantially all legal matters for Cboe Digital’s business, including preparing and submitting regulatory filings; complying with applicable regulatory requirements (including state MSB/MTL, BitLicense, CFTC and other applicable regulatory requirements); participating in efforts to guide the evolution the regulatory environment for the trading of digital assets and derivatives; and coordinating with Cboe’s broader legal team on other legal matters applicable to the Cboe Digital business including corporate governance, contract drafting/review, acquisitions/investments, product advisory, disputes, etc. Duties and Responsibilities: Manage specialized knowledge to support Cboe Digital’s trading and clearing venues, with a particular focus on exchange rules and filings, industry initiatives and market structure. Track, prepare and file required...

Job Description Duties and Responsibilities: Perform a combination of the following duties: Administer reviews of rule filings for impact on regulatory programs in consultation with Regulatory Advisors.  Maintain associated documentation attendant to that process. This would include tracking Cboe-affiliated U.S. Exchanges (BYX, BZX, Cboe Options, C2, EDGA, EDGX, CFE and Cboe SEF) filings and circulars, SEC and CFTC rulemaking, and various other regulatory developments.  Coordinate with Regulatory Advisors and others who evaluate policies and procedures to maintain documentation current with process and related requirements.  Assist with identifying and drafting changes in response to various other initiatives, including product launches, systems enhancements and updated trading procedures.  Document changes in a consistent manner and maintain related records.  Assist with the facilitation and coordination of SEC and CFTC inspection of the Division’s regulatory programs...

With the aim of delivering sales targets for the Americas Benchmark & Indices business, this role is responsible for gathering and synthesizing customer requirements to develop high impact, innovative demos and presentations for relevant Refinitiv solutions for managers and builders of index products; solutions including content, analytics, FX Benchmarks and index calculation services.  The solution consultant enables and accelerate deal closure by selling value and presenting all applicable offerings. The incumbent is a key member of the deal team.  With investment industry/financial subject matter expertise, the Solution Consultant supports the sales motion through deep knowledge of Refinitiv’s content and analytic offerings & deployment options relevant to the customer workflows.  These customer workflows often include portfolio analysis, performance valuation and calculations, fund administration, data analysis and research.  You will collaborate with...