- Marex (Chicago, IL)
- …For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Compliance Officer - Exam and Inquiry Management is the first point ... requirements setting up Guaranteed Introducing Brokers with the regulators. + Existing Regulatory Inquiry and Exam experience in a financial markets context. +… more
- Wellington (Chicago, IL)
- …Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure ... Group and will report to the Private Investments Chief Compliance Officer , working closely with other ...enhancing and maintaining team recordkeeping practices + Support regulatory inquiry and exam management in relation to… more
- Wellington (Chicago, IL)
- …a member of the Legal, Compliance & Risk Group and will report to a Compliance Officer based in our Boston office, working closely with other compliance ... including revising and drafting of applicable policies and procedures + Support regulatory inquiry and exam management, as appropriate Qualifications + 2 to 6… more