Broker Dealer Jobs in Oak Park (IL)
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Search Results - Broker Dealer Jobs in Oak Park (IL)
Hightower Advisors-Oak Park (IL)-
Overview
In this role you will perform risk-based compliance reviews of the firm’s marketing and communications across registered investment adviser and broker-dealer channels. You’ll partner with Marketing, Legal, and Investment Solutions...
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Hightower Advisors-Oak Park (IL)-
and controls
• Provide practical guidance on registered investment adviser and broker-dealer requirements
• Promote policy awareness through clear, proactive communication and education
• Partner with business, operations, legal, risk, and tech teams to achieve...
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US Bank-Oak Park (IL)-
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...
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Kroll-Oak Park (IL)-
Overview
In this role you will lead delivery of expert compliance guidance to RIAs, broker-dealers, and registered funds. You will own senior client relationships, mentor the team, and drive strategic growth of the compliance consulting practice...
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Hightower Advisors-Oak Park (IL)-
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...
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Robinhood Financial-Oak Park (IL)-
to support enterprise-wide risk decisions and drive strategic risk initiatives. Based in Chicago, you’ll shape how we monitor, report, and govern broker-dealer risk in a fast-growing fintech environment. This is a high-impact, leadership-heavy position...
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Portage Point Partners-Oak Park (IL)-
on legal and governance matters
• Own client contracting framework (engagement letters, MSAs, SOWs, NDAs, indemnification terms) and set risk-based approval standards
• Oversee regulatory compliance across the platform (broker-dealer, FINRA, independence...
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Financial Industry Regulatory Authority-Oak Park (IL)-
as Associate Principal Analyst
• ability to work independently and in groups
• strong analytic and organizational skills
• excellent oral and written communication
• knowledge of securities and broker-dealer services and marketing methods
• in-depth knowledge...
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RSM International-Oak Park (IL)-
Overview
In this role you will lead and deliver regulatory compliance assessments for broker-dealers and RIAs, shaping robust programs that meet regulatory expectations. You’ll work with cross-functional teams to strengthen controls, conduct...
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Hightower Advisors-Oak Park (IL)-
of investment adviser or broker-dealer compliance, supervision, audit, or examination practices
• Ability to assess data accuracy, investigate exceptions, identify patterns, and communicate clearly to nontechnical audiences
• Familiarity with Microsoft Power...
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