Senior Compliance Officer – Fintech Brokerage

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.

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.

Skills

Compliance program management

AML/KYC knowledge

Strong analytical skills

Communication skills

Regulatory knowledge

Education

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

Tools

Compliance tools

CRM systems

Microsoft/Google workspace

Job description

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.