Broker Dealer Jobs in Chicago
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Search Results - Broker Dealer Jobs in Chicago
Phillip Capital Inc.Chicago
We’re Hiring – Broker Dealer Operations professionals – all levels - Associate up to Manager!
Location: Chicago, IL (Hybrid)
Phillip Capital Inc., located in Chicago, is dually registered with the SEC/FINRA as a self-clearing broker dealer...
CIM Group, LPChicago
PURPOSE:
The VP, Regional Sales Director, Wirehouse & Broker Dealer Sales is responsible for driving capital raising efforts and expanding the firm's presence across the private wealth marketplace. This individual contributor role develops and manages...
Aprio, LLPChicagoappcast.io
ethical standards.
Preferred
• Deep Financial Services and Broker-Dealer industry experience.
• Experience operating in high growth, multilocation, or national firm environments.
• Prior partner or executive leadership experience.
EQUAL OPPORTUNITY...
Hightower AdvisorsChicago
Do Conduct timely, risk-based compliance reviews of marketing and communications materials used across the firm’s registered investment adviser and broker-dealer businesses, including: Blog posts, articles, and market commentary Websites and digital...
Aprio, LLPChicagoappcast.io
Aprio is seeking a Partner to lead client engagements, expand market presence, and mentor talent across the firm. You will guide strategy, drive revenue growth, and champion a high-trust, collaborative culture across multiple locations.
The role...
Hightower AdvisorsChicago
extensive knowledge of registered investment adviser and broker-dealer regulations, strong judgment and communication skills, and the ability to independently identify risk, strengthen supervisory controls, and promote a positive culture of compliance.
What...
US BankChicago
Overview
In this role, you will lead the broker-dealer finance function, ensuring accurate GAAP reporting, robust internal controls, and governance for introducing retail and self-clearing broker-dealers. You’ll partner with audits, advise...
Kestra Financial Independent AdvisorChicago
keeping adheres to compliance standards
• Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance
• Process, submit, and service all account paperwork/requests; follow through to completion utilizing...
Hightower AdvisorsChicago
useful reporting, review data for potential issues, and communicate findings. The analyst will help turn examination and compliance needs into reliable, repeatable analysis for an SEC-registered investment adviser and FINRA-regulated broker-dealer.
What...
AlpacaChicago
is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 10...
Robert HalfChicago
regulatory exposure while enabling growth
Key requirements
• Active FINRA registrations: Series 24, Series 7, and Series 63/65/66
• Broker-dealer or wealth management compliance experience focused on advisor communications and social media supervision under...
Phillip Capital Inc.Chicago
We’re Hiring – Execution Services Analyst
Location: Chicago, IL (Hybrid)
Phillip Capital Inc., located in Chicago, is dually registered with the SEC/FINRA as a self-clearing Broker Dealer and the Commodity Futures Trading Commission (CFTC...
Hightower AdvisorsChicago
Overview
In this role you support Hightower’s Compliance Department by leading risk-based office examinations for SEC-registered advisers and FINRA-regulated broker-dealers. You work with cross‑functional teams to assess adherence to SEC, FINRA...
Apollo SolutionsChicago
across broker-dealer, futures commission merchant and swap dealer entities. The successful candidate will manage audits end-to-end, provide independent challenge to the business, and engage with senior stakeholders across Compliance, Legal, Risk...
Hightower AdvisorsChicago
Hightower's goals and values are met and upheld. You will be a key contributor in the execution of a risk-based office examination program for an SEC-registered investment adviser and FINRA-regulated broker-dealer. You will support our supervisory...
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