Securities Exchange Commission $20,000 jobs in Chicago, IL

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Audit Regulator, Inspector
Inspecting portions of audit work papers to assess the degree of compliance with the Sarbanes-Oxley Act, the rules of the Board, the Securities and Exchange...
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Internal Life Wholesaler
Allstate - 3,256 reviews - Northbrook, IL 60062
The internal wholesaler is responsible for supporting strict adherence to broker/dealer policies and procedures as well as applicable FINRA (Financial Industry...
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Graduate/Undergraduate Intern - Member Regulation Sales Prac...
Course work understanding of the securities industry and the Securities Exchange Act of 1934 preferred. FINRA works to protect investors and maintain market...
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Auditor - Liquidity

Northern Trust Corp. - 395 reviews - Chicago, IL
This role supports the department’s efforts by reviewing and analyzing laws and regulations both domestically and internationally (e.g., Federal Reserve,...

Associate, Due Diligence for Lenders

KPMG - 1,912 reviews - Chicago, IL 60601 (Loop area)
Generally Accepted Accounting Principles (GAAP), Securities and Exchange Commission (SEC) financial reporting issues, mergers and acquisitions, or transaction...

Senior Market Regulation Analyst

OneChicago,LLC - Chicago, IL 60606 (Loop area)
OneChicago, a single stock futures exchange regulated by the Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC), is...
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Sr. Manager -Broker-Dealer Accounting & Reporting & Capital...

Nuveen Investments, LLC - Chicago, IL
Securities & Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Office of the Comptroller of the Currency (OCC), Consumer Financial...

Senior Associate, Financial Due Diligence

KPMG - 1,912 reviews - Chicago, IL 60601 (Loop area)
United States Generally Accepted Accounting Principles, Securities and Exchange Commission financial reporting issues, International Financial Reporting...

CBOE Examiner - Member Regulation, ROOR - Chicago, IL

Finra - 41 reviews - Chicago, IL
FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also...

Client Services Coordinator (Adminstrative Assistant)

NRT LLC - 2 reviews - Downers Grove, IL 60515
Ensure that proper security steps are taken. Answer and review agent commission check questions before sending to the Transaction Manager....

Chief Compliance Officer

Direct Access USA LLC - Chicago, IL
DA International Financial Service Limited, a licensed corporation regulated by Securities and Futures Commission in Hong Kong, was initially established as a...
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Examiner - Member Regulation, Sales Practice - Chicago, IL

Finra - 41 reviews - Chicago, IL
FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also...

Graduate/Undergraduate Intern Market Reg - Options Reg - Chi...

Finra - 41 reviews - Chicago, IL
FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also...
Principal IT Risk and Controls Examiner, Member Regulation,...
Finra - 41 reviews - Chicago, IL
FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also...
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Senior Associate, Japanese Corporate Federal Tax
KPMG - 1,912 reviews - Chicago, IL 60601
Work as part of a multi-disciplinary team helping to provide a wide range of tax services to Securities Exchange Commission (SEC) clients....
Sponsored by KPMG LLP

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