Compliance Officer

EdgeClear; Chicago (IL); On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

Competitive compensation

Health benefits

401(k) with full company match

Job summary

A financial services firm in Chicago is seeking an experienced Compliance Officer to oversee and manage compliance across its brokerage and fintech operations. Responsibilities include ensuring adherence to regulatory frameworks, developing compliance policies, and conducting internal audits. Ideal candidates will have a Bachelor's degree and at least 2 years in legal or compliance roles, with strong knowledge of AML/KYC regulations. A competitive compensation package is offered, ensuring a desirable work environment.

Qualifications

• 2+ years of legal or compliance experience within a financial institution.
• Proven experience in building or managing compliance programs and internal controls.
• Highly organized and detail-oriented with the ability to manage multiple priorities.
• Working knowledge of financial regulatory frameworks such as FINRA, NFA, SEC or CFTC.
• Proven experience building or managing compliance programs, policies, and internal controls.
• Highly organized and detail-oriented with the ability to manage multiple priorities in a fast-paced environment.
• Strong analytical, investigative, and problem-solving skills.
• Excellent written and verbal communication skills, with the ability to translate complex regulatory concepts clearly.
• Proficiency with compliance tools, CRM systems, and Microsoft/Google workspace environments.
• Ability to work on-site in Chicago (River North) five days per week.

Responsibilities

• Oversee the compliance program's development, implementation, and monitoring.
• Conduct internal audits and compliance reviews.
• Serve as the primary contact for NFA and CFTC inquiries.
• Serve as the primary contact for all NFA and CFTC inquiries.
• Develop, document, and manage compliance policies, procedures, risk assessments, and internal controls.
• Conduct internal audits, compliance reviews, and risk assessments to evaluate adherence to regulatory and internal standards.
• Partner with Marketing and Operations to ensure compliance with advertising, disclosures, privacy policies, and customer communications.
• Investigate potential compliance issues and coordinate escalation and resolution across internal teams and external partners.
• Support regulatory inquiries, audits, and examinations.
• Develop and deliver internal compliance training across AML/KYC, regulatory requirements, fraud awareness, and ethics.
• Maintain accurate and audit-ready compliance documentation and reporting.
• Collaborate with internal stakeholders to assess compliance risks related to new products, services, and initiatives.

Skills

Compliance program management

AML/KYC knowledge

Strong analytical skills

Communication skills

Regulatory knowledge

Communication skills

Education

Bachelor’s degree in legal, business, finance, accounting, or related field

Tools

Compliance tools

CRM systems

Microsoft/Google workspace

Job description

About the Company

EdgeClear’s objective is to simplify access to financial markets through outstanding brokerage technology, services and solutions. We are an experienced team of industry professionals who share both a passion for trading and a deep understanding of its complexities. Our approach combines advanced technology, high-touch service, and disciplined risk management. Everything we build is Trader-Inspired.

About the Role

We are seeking an experienced Compliance Officer to lead and manage EdgeClear’s compliance program across our brokerage and fintech operations. This role is responsible for ensuring adherence to applicable regulatory frameworks while strengthening internal controls, mitigating risk, and supporting the firm’s continued growth. You will work directly with senior leadership and cross-functional teams to design, implement, and oversee compliance policies and procedures across key areas including AML/KYC, NFA and CFTC regulations, payment processing, fraud prevention, and marketing compliance. This is a hands-on leadership role suited for someone who can both think strategically and execute operationally, owning compliance from policy creation through implementation and ongoing oversight.

Responsibilities

• Oversee the development, implementation, and ongoing monitoring of EdgeClear’s compliance program.
• Maintain and continuously improve AML/KYC policies, including customer onboarding, due diligence, ongoing monitoring, and periodic updates.
• Ensure compliance with NFA and CFTC rules and regulations; monitor regulatory updates and advise on business impact.
• Serve as the primary contact for all NFA and CFTC inquiries.
• Develop, document, and manage compliance policies, procedures, risk assessments, and internal controls.
• Conduct internal audits, compliance reviews, and risk assessments to evaluate adherence to regulatory and internal standards.
• Partner with Marketing and Operations to ensure compliance with advertising, disclosures, privacy policies, and customer communications.
• Investigate potential compliance issues and coordinate escalation and resolution across internal teams and external partners.
• Support regulatory inquiries, audits, and examinations.
• Develop and deliver internal compliance training across AML/KYC, regulatory requirements, fraud awareness, and ethics.
• Maintain accurate and audit-ready compliance documentation and reporting.
• Collaborate with internal stakeholders to assess compliance risks related to new products, services, and initiatives.

Qualifications

• Bachelor’s degree in legal, business, finance, accounting, or a related field.
• 2+ years of legal or compliance experience within a brokerage, clearing firm, or any other financial institution.
• Strong knowledge of AML/KYC requirements, BSA/Patriot Act, OFAC, and consumer protection regulations.
• Working knowledge of financial regulatory frameworks such as FINRA, NFA, SEC or CFTC.
• Proven experience building or managing compliance programs, policies, and internal controls.
• Highly organized and detail-oriented with the ability to manage multiple priorities in a fast-paced environment.
• Strong analytical, investigative, and problem-solving skills.
• Excellent written and verbal communication skills, with the ability to translate complex regulatory concepts clearly.
• Proficiency with compliance tools, CRM systems, and Microsoft/Google workspace environments.
• Ability to work on-site in Chicago (River North) five days per week.

Additional Desired Skills

• Familiarity with trading platforms, brokerage operations, or financial market infrastructure.
• Experience working cross-functionally with marketing, operations, and product teams.

Pay range and compensation package

Competitive compensation, health benefits, and 401(k) with full company match.

Equal Opportunity Statement

EdgeClear is committed to diversity and inclusivity in the workplace.