What Compliance Officer Roles Jobs are in Chicago?

EXCLUSIVE — Our client, a leading, public, technology manufacturing company with 7,000 employees and sales, engineering, and manufacturing locations in North America, Europe, Middle East, and Asia, seeks a Chief Compliance Officer in its Chicago headquarters. Reporting directly to the General Counsel, the Chief Compliance Officer will develop, implement, and monitor effective compliance programs and policies to ensure the company’s adherence to relevant laws, regulations, and ethical standards. The successful candidate will serve as a strategic advisor to senior leadership and will be responsible for fostering a culture of compliance throughout the organization. The successful candidate will possess a Juris Doctor (J.D.) degree and at least 10+ years of related compliance experience, preferably working in a role for a global manufacturer or tier 1 automotive supplier.

This is an exciting opportunity to join a leading and growing international company with vibrant management and perform a vital and integral role by crafting and overseeing the company’s first comprehensive compliance program.

Location: Chicago

Employment Type: Legal Role

Experience: Senior Attorney

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Senior Compliance Officer, Compliance Management

At Corient, we help high‑ and ultra‑high‑net‑worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for VLCp people, causes and communities they care about. We focus on exceeding expectations, simplifying lives, and establishing legacies that last for generations. We are always looking for talented and motivated individuals to join our team. If you want to work for a company that values your contributions and supports your growth, we would like to meet you.

This position is an enterprise compliance role responsible for supporting both Corient’s asset management and private wealth business, serving as a subject matter expert in compliance.

Responsibilities

• Program Development & Oversight: Maintain and strive to improve the firm’s overall compliance program, including drafting and updating the compliance manual, written policies and procedures and Code of Ethics.
• Enterprise Compliance Governance: Developing and maintaining compliance governance documents including committee charters, minutes. Preparing enterprise governance reporting for senior management.
• Training & Education: Develop and deliver ongoing compliance education and training initiatives for all employees, utilizing Learning Management systems (LMS) and in‑person training, to ensure they understand their responsibilities and stay current with regulatory changes.
• Regulatory Change Management: Continuously monitor the evolving regulatory landscape, including new rules and enforcement cases, and adapt internal policies and procedures accordingly.

Qualifications & Requirements

• A minimum of 5‑10+ years of experience in regulatory compliance within the financial services industry, specifically with a Registered Investment Adviser.
• Deep understanding of federal and state securities laws, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and related SEC rules for wealth management, private and registered funds. Knowledge of NFA and CFTC regulations helpful.
• Strong analytical, problem‑solving, and critical thinking abilities.
• Exceptional written and verbal communication skills, with the ability to articulate complex regulatory information clearly to all levels of the organization.
• Strong Microsoft Office skills.
• Leadership and management skills to foster a firm‑wide culture of compliance.
• Meticulous attention to detail and strong organizational skills to manage documentation and deadlines.
• Familiarity with Learning Management systems a plus.

Physical Requirements

• This position requires the physical capabilities toibong work in an office environment, which may include prolonged periods of sitting at a desk and working on a computer. Corient seeks to make reasonable accommodations that enable individuals with disabilities to perform essential duties when possible.
• This position may require the ability to lift up to 15 pounds.
• This position requires working onsite 4 days per week.

U.S. Eligibility Requirements

• Must be 18 years of age or older.
• Must be willing to submit to a background investigation; any offer of employment is conditioned upon the successful completion of a background investigation.
• Must have unrestricted work authorization to work in the United States. For U.S. employment opportunities, Corient hires U.S. citizens or permanent residents. Exceptions to these requirements will be determined based on shortage of qualified candidates with a particular skill. Corient will require proof of work authorization.
• Corient participates in E‑Verify and will provide the federal government with your Form I‑9 information to confirm that you are authorized to work in the U.S. If E‑Verify cannot confirm that you are authorized to work, this employer is required to give you written instructions and an opportunity to contact Department of Homeland Security (DHS) or Social Security Administration (SSA) so you can begin to resolve the issue before the employer شتون can take any action against you, including terminating your employment. Employers can only use E‑Verify once you have accepted a job offer and Collections completed the Form_gpu.
• Must be willing to execute Corient’s Employee Agreement or Confidentiality and Non‑Disclosure Agreement, which require, among other things, post‑employment obligations relating to non‑solicitation, confidentiality, and non‑disclosure.

What You can Expect from Us

• 401(k) Plan with Employer Matching
• Four Medical Plan options that are generously subsidized by Corient
• Employer paid Dental, Vision & Life and AD&D Insurance
• Employer paid Short‑term & Long‑term Disability
• Paid Maternity & Par सुंदर Leave
• Flexible Spending Accounts & Health Savings Accounts
• Dependent Care FSA
• Commuter & Transit FSA
• Corporate Discount Program – Perkspot
• Training Reimbursement
• Paid Professional Designations
• Giving back to the community – Volunteer days

Corient terjadi di one of the fastest‑growing wealth management platforms in the United States. We serve more than 10,000 clients and manage over $100 billion of assets through offices located across the country. We Treeße a boutique’s personal service, creativity and objective advice with the extensive resources and vast intellectual capital of an innovative industry leader to create a profoundly different wealth management experience for our clients. Full participation of all employees in a safe, healthy and respectful environment is key to individual and company success. We are committed to fully utilizing the abilities of all our employees and expect each of our employees to honor this commitment in their daily responsibilities.

We are an equal opportunity employer. All candidates will be recruited and, if applicable, selected and employed without regard to sex, race, religion, marital status, veteran status, age, national origin, sexual orientation, gender identity, color, creed, ancestry, disability, genetic information or any other basis prohibited by law.

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As a Sr. Export Compliance Officer here at Honeywell, you will play a critical role in ensuring that our company operates within the boundaries of export laws and regulations while maintaining a strong culture of compliance.
You will work out of one of our Charlotte, NC, Houston, TX, Lincolnshire, IL, Freeport, IL, or Atlanta, GA locations on a hybrid work schedule.
In this role, you will impact the company's adherence to import and export controls, customs compliance, and international trade transactions. Your expertise and knowledge will be crucial in minimizing risk and cost to the corporation while maintaining alignment with import and export standards.
KEY RESPONSIBILITIES
+ Provide guidance on export regulations to Honeywell's business organizations
+ Draft and obtain complex export authorizations on a timely basis both Department of State ITAR licenses and Department of Commerce Licenses).
+ Support business continuity by proactively managing export authorizations in a timely manner.
+ Assist with training and training development.
+ Analyze and interpret impact of US regulations on supply chain business activities.
+ Create, track and collect metrics and KPIs
+ Work with the business functions to ensure export authorization limitations and actions are clearly understood by the authorization owner and users.
+ Engage with business functions to communicate changes in export processes, procedures, and regulations.
+ Conduct post-approval reviews for export authorizations
+ Release export blocks in Global Trade Services (GTS) Tool
+ Perform or support export related audits including facilitation of data gathering request.
BENEFITS OF WORKING FOR HONEYWELL
In addition to a competitive salary, leading-edge work, and developing solutions side-by-side with dedicated experts in their fields, Honeywell employees are eligible for a comprehensive benefits package. This package includes employer subsidized Medical, Dental, Vision, and Life Insurance; Short-Term and Long-Term Disability; 401(k) match, Flexible Spending Accounts, Health Savings Accounts, EAP, and Educational Assistance; Parental Leave, Paid Time Off (for vacation, personal business, sick time, and parental leave), and 12 Paid Holidays. For more information visit: click here ( application period for the job is estimated to be 40 days from the job posting date 23/04/2026; however, this may be shortened or extended depending on business needs and the availability of qualified candidates.
ABOUT HONEYWELL
Honeywell International Inc. (Nasdaq: HON) invents and commercializes technologies that address some of the world's most critical challenges around energy, safety, security, air travel, productivity, and global urbanization. We are a leading software-industrial company committed to introducing state of the art technology solutions to improve efficiency, productivity, sustainability, and safety in high growth businesses in broad-based, attractive industrial end markets. Our products and solutions enable a safer, more comfortable, and more productive world, enhancing the quality of life of people around the globe. Learn more about Honeywell: click here ( BUSINESS UNIT
Honeywell's Trade Compliance team ensures compliance with international trade regulations and manages the import and export activities of the company. We work closely with various functional teams, such as Legal, Finance, and Supply Chain, to ensure smooth and compliant cross-border transactions. Our team plays a crucial role in maintaining Honeywell's reputation as a trusted global partner.
_Honeywell is an equal opportunity employer. Qualified applicants will be considered without regard to age, race, creed, color, national origin, ancestry, marital status, affectional or sexual orientation, gender identity or expression, disability, nationality, sex, religion, or veteran status. Learn more about inclusion and diversity :_ click here ( MUST HAVE
+ Minimum of three-years of export compliance experience
+ Minimum 2 years of experience working for a multinational company or a U.S. defense contractor
+ Knowledge of the International Traffic in Arms Regulations (ITAR) and/or Export Administration Regulations (EAR)
+ Experience in **drafting and creating** US licenses (ITAR and Commerce)
+ U.S. Person status as defined by the ITAR
+ Able to interpret and follow policies, procedures and US Regulations
WE VALUE
+ Bachelor's Degree
+ Strong written skills
+ Proactive, well-organized, highly motivated
+ Ability to work independently once tasks are assigned
+ Aptitude for compliance
+ Excellent communication, presentation, and interpersonal skills a plus
+ Experience with MS Office
+ Experience with EASE, SAP / GTS or other ERP systems and related export compliance modules
+ Experience with developing or using digital tools
Honeywell helps organizations solve the world's most complex challenges in automation, the future of aviation and energy transition. As a trusted partner, we provide actionable solutions and innovation through our Aerospace Technologies, Building Automation, Energy and Sustainability Solutions, and Industrial Automation business segments - powered by our Honeywell Forge software - that help make the world smarter, safer and more sustainable.
Honeywell is an equal opportunity employer. Qualified applicants will be considered without regard to age, race, creed, color, national origin, ancestry, marital status, affectional or sexual orientation, gender identity or expression, disability, nationality, sex, religion, or veteran status.

The Compliance Officer II is a senior member of the Medical Compliance organization and oversees the Compliance program for a business within the Medical Division of significant size and complexity with a high level of independence. The Compliance Officer II is responsible for developing the Compliance program strategy within their business unit to enable business results and effectively manage risk for the company. This role may also help prepare and lead the Medical Compliance Committee, drives alignment to the global Compliance strategy, and influences senior leadership and other stakeholders in identifying risks and opportunities and implementing appropriate mitigation efforts.
This position is also responsible for ensuring the specific needs of their businesses are considered in strategic decisions regarding the Compliance Program and adapting global initiatives to meet the needs of such businesses. This position is responsible for partnering with Senior Leadership within the business unit and their respective Compliance Committees to maintain compliance with laws, regulations, and standards.
+ Oversee the Compliance program for certain business unit(s) within Medical.
+ Influence and partner with senior business leaders to effectively enable business results and manage significant compliance risks.
+ Establish tone at the top with leadership teams and drive a culture of ethics and compliance.
+ Oversee development and delivery of training, policies, and guidance that support in line with business goals and the Compliance strategy.
+ Act as a senior leader within the Compliance organization.
+ Implement the Compliance strategy and goals within their business units to empower business leadership and effectively manage risk for the company.
+ Develop programs to ensure organizational compliance with relevant laws, regulations, and standards across regions.
+ Ensure effective compliance controls are in place, including written standards, education and communication, auditing and monitoring, third-party oversight, and corrective action.
+ Provide input to support continuous improvement of the compliance program and to reflect changes, clarifications, or updates in applicable law, regulations, policy, and business strategy.
+ Maintain deep knowledge of the businesses and their operations; use knowledge of business and compliance metrics to inform the strategy and goals.
+ Lead continuous improvement efforts to increase efficiency, simplicity, and speed of action.
+ Support the Compliance Leadership Team in reporting on the status of compliance program on a regular basis.
+ Maintain knowledge of relevant laws, regulations, and industry standards.
+ Raise awareness of the compliance program and promote accountability for ethics and integrity.
+ Foster a continuous improvement mindset and proposes enhancements to the Program informed by industry trends and best practices.
+ Participate in industry associations and engagements to raise the profile of the Compliance program and the company.
**Education & Special Trainings:**
B.A. or B.S from accredited university required.
Graduate degree and/or professional accreditation preferred.
**Qualifications & Experience:**
+ Minimum of 10+ years of work experience required; previous compliance experience in a related industry or highly regulated environment required.
+ Demonstrates knowledge and clear understanding of the required elements of effective ethics and compliance programs and experience with AdvaMed code and other relevant standards.
+ Possesses excellent communication, leadership, and influencing skills.
+ Demonstrates high level of professionalism, business acumen, and judgment.
+ Demonstrates ability to drive complex work of significant impact to the organization.
+ Well-developed understanding of business financials and reporting and ability to effectively allocate resources for maximum impact.
+ Demonstrate an ability to execute tasks and projects without direct oversight and a significant ability to operate independently.
+ Initiates, embraces, and supports change in a dynamic and complex environment.
+ Oversees complex work of significant impact to the organization.
+ Demonstrates excellent ability to exercise discretion and maintain confidentiality.
+ Possesses excellent understanding of the budgeting process, expense and headcount management, business financials, and ability to allocate resources for maximum impact.
+ Demonstrates excellent communication and leadership skills.
+ Promotes Stryker's culture of integrity and compliance.
+ Safeguards Stryker's people, assets, and reputation.
+ Maintains highly sensitive and confidential information.
**Physical & Mental Requirements:**
Must be able to:
+ Exercise independent judgment with strong attention to detail.
+ Analyze, understand and communicate complicated issues to Leaders to ensure understanding.
+ Develop solutions based on best practices and customer feedback.
+ Solicit input from leaders and exercise independent judgment in providing recommendations.
+ Communicate telephonically and via email and other electronic means.
+ Effectively navigate Workday and Microsoft Office Suite.
+ Handle multiple concurrent tasks and changing priorities
This role is required to be in office 3 days per week.
**United States of America Pay Ranges:**
+ **USN** : $155,900 - $259,700 USD Annual
+ **US5** : $163,700 - $272,700 USD Annual
+ **US10** : $171,500 - $285,700 USD Annual
+ **US15** : $179,300 - $298,700 USD Annual
+ **US20** : $187,100 - $311,600 USD Annual
+ **US30** : $202,700 - $337,600 USD Annual
View the U.S. work location and transparency guide ( to find the pay range for your location.
Health benefits include: Medical and prescription drug insurance, dental insurance, vision insurance, critical illness insurance, accident insurance, hospital indemnity insurance, personalized healthcare support, wellbeing program and tobacco cessation program. Financial benefits include: Health Savings Account (HSA), Flexible Spending Accounts (FSAs), 401(k) plan, Employee Stock Purchase Plan (ESPP), basic life and AD&D insurance, and short-term disability insurance. Stryker offers innovative products and services in MedSurg, Neurotechnology, Orthopaedics and Spine that help improve patient and healthcare outcomes. Alongside its customers around the world, Stryker impacts more than 150 million patients annually. Depending on customer requirements employees and new hires in sales and field roles that require access to customer accounts as a function of the job may be required to obtain various vaccinations as an essential function of their role.
Stryker Corporation is an equal opportunity employer. Qualified applicants will receive consideration for employment without regard to race, ethnicity, color, religion, sex, gender identity, sexual orientation, national origin, disability, or protected veteran status. Stryker is an EO employer - M/F/Veteran/Disability.

About the role

The Robinhood Derivatives (RHD) Compliance team oversees regulatory compliance for our futures, event contracts, and options on futures business. The team ensures adherence to Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) requirements while supporting the compliant launch of new products. You will partner closely with Legal, Risk, Supervision & Controls, and business operations to maintain a strong compliance framework and support regulatory engagement. This team plays a critical role in enabling product innovation while maintaining regulatory integrity.

As Chief Compliance Officer (CCO) of RHD, you will lead the design, implementation, and ongoing management of the derivatives compliance program. You will serve as the primary compliance contact for regulators and internal partners, guiding the business through evolving regulatory requirements. You will oversee policies, procedures, and control frameworks while advising on new products, risk management practices, and regulatory developments. This role also includes leading regulatory exams, audits, and supporting major business initiatives such as potential mergers or acquisitions.

This role is based in our Chicago, IL or New York, NY office(s), with in-person attendance expected 5 days per week.

What you’ll do

• Lead and maintain the RHD compliance program, including policies, procedures, and internal controls aligned with CFTC and NFA requirements.
• Advise business teams on regulatory requirements related to futures, event contracts, and options on futures, including new product launches and updates to existing offerings.
• Oversee regulatory interactions, including exams, inquiries, and reporting obligations, and coordinate responses with Legal, Risk, and Internal Audit partners.
• Review marketing and promotional materials to ensure alignment with applicable regulatory standards.
• Support firm‑wide initiatives impacting derivatives compliance, including system implementations, risk programs, and business changes.

What you bring

• 8+ years of experience in financial services compliance, including at least 5 years focused on futures, derivatives, or related products.
• Active FINRA Series 3 license and strong knowledge of CFTC and NFA regulations.
• Experience developing and maintaining compliance policies, procedures, and control frameworks.
• Ability to analyze regulatory requirements and translate them into clear, actionable guidance for business teams.
• Experience working with regulators or prior experience at a regulatory agency such as the CFTC or NFA.

What we offer

• Challenging, high‑impact work to grow your career.
• Performance‑driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching.
• Best‑in‑class benefits to fuel your work, including 100% paid health insurance for employees and 90% coverage for dependents.
• Lifestyle wallet – a highly flexible benefits spending account for wellness, learning, and more.
• Employer‑paid life & disability insurance, fertility benefits, and mental health benefits.
• Time off to recharge including company holidays, paid time off, sick time, parental leave, and more.
• Exceptional office experience with catered meals, events, and comfortable workspaces.

Base Pay Range

Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC)

Zone 2 (Denver, CO; Westlake, TX; Chicago, IL)

Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL)

Equal Employment Opportunity

Robinhood provides equal opportunity for all applicants, offers reasonable accommodations upon request, and complies with applicable equal employment and privacy laws. Inclusion is built into how we hire and work—welcoming different backgrounds, perspectives, and experiences so everyone can do their best. Please review the Privacy Policy for your country of application.

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About the Role Our client, a rapidly expanding fintech company, is seeking an accomplished and visionary Chief Compliance Officer (CCO) to lead their compliance function from their offices in Chicago, Illinois . This executive-level position is responsible for establishing and managing the company's compliance program, ensuring adherence to all relevant laws, regulations, and ethical standards within the financial services industry. The CCO will work closely with senior leadership, legal, operations, and technology teams to embed a strong culture of compliance throughout the organization. This is a critical role for a strategic leader passionate about regulatory integrity and risk mitigation. Key Responsibilities

• Develop, implement, and maintain a comprehensive enterprise-wide compliance program.
• Oversee the company's adherence to all applicable financial regulations, including but not limited to, anti-money laundering (AML), know your customer (KYC), and data privacy laws.
• Conduct regular risk assessments to identify potential compliance vulnerabilities and develop proactive mitigation strategies.
• Establish and manage internal controls, policies, and procedures to ensure regulatory adherence.
• Lead and manage the compliance team, fostering a culture of diligence and ethical conduct.
• Serve as the primary point of contact for regulatory bodies and auditors.
• Design and deliver effective compliance training programs for employees at all levels.
• Monitor regulatory changes and updates, assessing their impact on the business and advising on necessary adjustments.
• Investigate compliance incidents and recommend corrective actions.
• Report on the status of the compliance program and identified risks to the Board of Directors and senior management.

Requirements

• Juris Doctor (JD) degree or equivalent advanced degree in a relevant field (e.g., Business Administration, Finance).
• Minimum of 10 years of progressive experience in legal, compliance, or risk management within the financial services or fintech industry.
• Proven track record of successfully designing, implementing, and managing robust compliance programs.
• In-depth knowledge of financial regulations (e.g., SEC, FINRA, CFPB, BSA/AML) and evolving compliance landscapes.
• Strong leadership, strategic thinking, and organizational skills.
• Exceptional communication, presentation, and interpersonal abilities.
• Experience interacting with regulatory agencies and managing audits.
• Ability to translate complex regulatory requirements into practical business solutions.
• Relevant certifications (e.g., CCEP, CRCM) are a plus.
• Commitment to maintaining the highest ethical standards.

Benefits

• Executive-level compensation package including base salary, bonus, and equity options.
• Comprehensive benefits including premium medical, dental, and vision coverage.
• Generous 401(k) matching program.
• Significant paid time off and company holidays.
• Opportunities for professional development and attendance at industry conferences.
• A strategic leadership role in a rapidly growing company based in Chicago, Illinois .

Join us in building the future of finance.

Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.

About the team + role

We are building an elite team, applying frontier technologies to the world’s biggest financial problems. We’re looking for bold thinkers. Sharp problem-solvers. Builders who are wired to make an impact. Robinhood isn’t a place for complacency, it’s where ambitious people do the best work of their careers. We’re a high-performing, fast-moving team with ethics at the center of everything we do. Expectations are high, and so are the rewards.

The Robinhood Derivatives (RHD) Compliance team oversees regulatory compliance for our futures, event contracts, and options on futures business. The team ensures adherence to Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) requirements while supporting the compliant launch of new products. You will partner closely with Legal, Risk, Supervision & Controls, and business operations to maintain a strong compliance framework and support regulatory engagement. This team plays a critical role in enabling product innovation while maintaining regulatory integrity!

As Chief Compliance Officer (CCO) of RHD, you will lead the design, implementation, and ongoing management of the derivatives compliance program. You will serve as the primary compliance contact for regulators and internal partners, guiding the business through evolving regulatory requirements. You will oversee policies, procedures, and control frameworks while advising on new products, risk management practices, and regulatory developments. This role also includes leading regulatory exams, audits, and supporting major business initiatives such as potential mergers or acquisitions.

This role is based in our Chicago, IL or New York, NY office(s), with in-person attendance expected 5 days per week.

At Robinhood, we believe in the power of in-person work to accelerate progress, spark innovation, and strengthen community. Our office experience is intentional, energizing, and designed to fully support high-performing teams.

What you’ll do

• Lead and maintain the RHD compliance program, including policies, procedures, and internal controls aligned with CFTC and NFA requirements
• Advise business teams on regulatory requirements related to futures, event contracts, and options on futures, including new product launches and updates to existing offerings
• Oversee regulatory interactions, including exams, inquiries, and reporting obligations, and coordinate responses with Legal, Risk, and Internal Audit partners
• Review marketing and promotional materials to ensure alignment with applicable regulatory standards
• Support firm-wide initiatives impacting derivatives compliance, including system implementations, risk programs, and business changes

What you bring

• You have 8+ years of experience in financial services compliance, including at least 5 years focused on futures, derivatives, or related products
• You hold an active FINRA Series 3 license and have strong knowledge of CFTC and NFA regulations
• You have experience developing and maintaining compliance policies, procedures, and control frameworks
• You can analyze regulatory requirements and translate them into clear, actionable guidance for business teams
• You have experience working with regulators or prior experience at a regulatory agency such as the CFTC or NFA

Our ambitious roadmap requires a great culture shaped by exceptional leaders. Here’s what we expect from them:

• Drive high performance by setting clear, focused goals, giving real-time feedback, stretching top talent, and scaling impact through focus, innovation, and tech.
• Hire and retain top talent by setting a high bar, hiring only those who raise it, investing in onboarding, and addressing talent issues quickly and fairly.
• Create community by connecting work to purpose, removing friction while prioritizing safety, building trust and inclusion, and leading from the front with integrity.

What we offer

• Challenging, high-impact work to grow your career
• Performance driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
• Best in class benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents
• Lifestyle wallet - a highly flexible benefits spending account for wellness, learning, and more
• Employer-paid life & disability insurance, fertility benefits, and mental health benefits
• Time off to recharge including company holidays, paid time off, sick time, parental leave, and more!
• Exceptional office experience with catered meals, events, and comfortable workspaces.

Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process.

• Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC): $255,000 - $300,000 USD
• Zone 2 (Denver, CO; Westlake, TX; Chicago, IL): $224,000 - $264,000 USD
• Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL): $199,000 - $234,000 USD

Click here to learn more about our Total Rewards, which vary by region and entity.

Equal Employment Opportunity Information

At Robinhood, we care deeply about diverse representation in our workforce as it supports our mission to democratize finance for all. In support of this goal, we encourage applicants to voluntarily identify demographic information. This information helps us to continue building a more inclusive workplace and to ensure effective recruiting programs that are inclusive of individuals across all backgrounds.

Self-identifying in this section is completely voluntary and if you choose not to provide any information, please select the I don't wish to answer option under that question. Whatever your decision, data that you provide in this section will not be considered in the hiring process or thereafter. Individuals seeking employment at Robinhood are considered without regard to race, color, religion, national origin, age, sex, sexual orientation, marital status, ancestry, physical or mental disability, neurodivergence, veteran status, gender identity or expression, or any other characteristic protected by law.

You are being given the opportunity to provide the following information in order to help us comply with federal and state Equal Employment Opportunity recordkeeping, reporting, and other legal requirements, and to be used in our efforts to recruit a diverse workforce. Any information that you do provide will be recorded and maintained in a confidential manner. For more information on EEOC definitions, please reference this document.

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By checking this box, I consent to Robinhood collecting, storing, and processing my responses to the demographic data surveys above.

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Robinhood is seeking a Chief Compliance Officer for its Derivatives Compliance team in New York. This leadership role involves overseeing compliance programs aligned with CFTC and NFA regulations. The ideal candidate should have over 8 years of experience in financial services compliance, including work with futures and derivatives, and should hold an active FINRA Series 3 license. Responsibilities include advising on regulatory requirements, leading regulatory interactions, and developing compliance policies. The expected salary range for this role is between $255,000 and $300,000 USD.
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Chicago Trading Company (CTC) is a premier proprietary trading firm specializing in options market making. Our collaborative culture fuels innovation in quantitative research, systematic trading strategies, and cutting‑edge trading technology. For over three decades CTC has provided critical liquidity across derivatives exchanges worldwide – making them fairer, more transparent, and more efficient.

We strive to be the most innovative firm in the industry today, tomorrow, and long into the future while upholding ethical excellence. We believe that CTC makes a positive impact on the markets, the lives of our employees, and all the communities to which we belong. Started in 1995 by a team of forward‑thinking traders, we are proud to call ourselves an industry leader that keeps making markets and each other better.

As a Compliance Officer, you will report to the Chief Compliance Officer and handle various tasks supporting the firm’s global compliance operations, focusing on securities and futures trade surveillances for all CTC trading affiliates globally.

What You’ll Do

• Develop, refine, and apply proprietary and external surveillance rules related to market maker quote compliance and market abuse.
• Define business requirements for proprietary and third‑party (e.g., Eventus, Nasdaq SMARTS) surveillance system enhancements and work closely with technology teams to confirm technical requirements and drive enhancement efforts to completion.
• Investigate surveillance alerts and elevate findings to the Chief Compliance Officer and the Director of European Compliance.
• Supervise Compliance staff responsible for completing first‑level surveillance reviews.
• Draft and update compliance written supervisory procedures related to trading compliance, including desktop procedures for Compliance staff.
• Review and summarize proposed regulatory rules and guidance related to trading compliance for applicability.
• Assist in the preparation of responses to formal investigations and other regulatory inquiries from various U.S. and European regulators, such as the SEC, FINRA, CME, FCA, EUREX, ICE, and other U.S. and European exchanges.
• Liaise and communicate with various teams including trading, technology, and operations.

What We’re Looking For

• Bachelor’s degree required.
• Candidates should have at least 8 years of experience in a compliance function that directly supports a professional trading business, or at least 3 years in a compliance function that supports a professional trading business and 5 additional years in non‑compliance roles in financial services.
• Ability to manage and prioritize multiple ongoing projects in a fast‑paced, high‑performing trading environment.
• Ability to regularly assess the efficiency of control systems and recommend effective improvements.
• Demonstrate a high level of integrity.
• Proactive approach to help identify regulatory risk for the firm.
• Ability to operate effectively in a team environment.
• Solid knowledge of electronic trading, emphasizing listed options and futures.
• Extensive knowledge of SEC, FINRA, CFTC and U.S. exchange rules and regulations. Experience with European trading rules a plus.
• Establish strong working relationships with exchanges, regulators and vendors.
• Exceptional verbal and written communication skills.
• Strong time management skills with an emphasis on follow‑through and completion of projects.
• Legal authorization to work in the U.S. is required. We will not sponsor individuals for employment authorization for this job opening.

Nice to Have

• Series 3, 7, or 57.
• Prior securities or commodities trading experience.

Compensation

The salary range for this role is listed below. This role is also eligible for an annual discretionary bonus. The discretionary bonus will be dependent upon the individual’s skills, experience, qualifications, and firm performance.

Salary Range: $150,000—$200,000 USD

Most teams at CTC, with the exception of Trading, follow a hybrid workplace model, subject to change based on business need.

Our Benefits

We strongly believe in the well‑being of our employees and their families so we offer outstanding benefits to support you both professionally and personally. These benefits include generous time off, insurance coverage, paid parental leave, free breakfast and lunch (plus healthy snacks, of course), wellness reimbursement, and a variety of other benefits focused on providing the best employee experience.

Disclaimer: interns and contractors are not eligible for benefits at CTC.

Our Commitment to Diversity, Equity and Inclusion

At CTC, we aim to cultivate a workplace that celebrates diversity and each person feels included, engaged and empowered. Where each of us feels we belong. We are committed to having a diverse workforce and are proud to be an equal opportunity employer. CTC does not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform crucial job functions, and to receive other benefits and privileges of employment.

If you have a disability and believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us at Note that emails sent to this email account for non‑disability related issues, such as following up on an application, will not receive a response.

Use of Artificial Intelligence (AI)

Information submitted by job applicants may be subject to review and analysis by automated systems, including Artificial Intelligence (AI), as part of the recruitment process. Such systems are utilized to enhance the efficiency and effectiveness of our hiring procedures. Applicants are advised that any information provided may be evaluated by AI tools to ensure an equitable and thorough assessment.

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