Top 20 Internal audit Jobs in Mapleton, Il

Compliance Officer
Midwestern Securities Trading Company, LLC —East Peoria, IL
- $60,000 - $90,000 a year
- Full-time
- Microsoft PowerPoint
- Microsoft Word
- Background check
- Health savings account
- Health insurance
Quick Apply
Director of Internal Audit
Pekin Insurance —Pekin, IL
- $126,000 - $172,000 a year
- Weekends as needed
- Hybrid work
- CPA
- Writing skills
- Finance
- Paid holidays
- Health insurance
Quick Apply
Assurance Associate (Fall 2027)
RSM —Peoria, IL
- $61,600 - $73,500 a year
- Full-time
- Bachelor of Science
- Microsoft Office
- Travel
12d
Compliance Specialist
MidAmerica National Bank —Canton, IL
- $19.23 - $26.93 an hour
- Full-time
- Office
- Administrative experience
- High school diploma or GED
- Health insurance
- Dental insurance
Quick Apply
Tax Accountant
Maui Jim Sunglasses —Peoria, IL
- $70,000 - $82,000 a year
- Full-time
- CPA
- Computer literacy
- Research
- Paid parental leave
- Health savings account
Accounting Officer
University of Illinois —Peoria, IL
- $21.67 - $23.00 an hour
- Online Application
- Mid-level
- Administrative experience
- University
- Health insurance
- Dental insurance
Finance Director
Tazewell County —Pekin, IL
- $94,785.60 - $125,881.35 a year
- Full-time
- CPA
- 5 years
- Office
Quick Apply
Costing Analyst
Matcor Metal Fabrication —Morton, IL
- From $70,000 a year
- Full-time
- Background check
- OSHA
- ERP systems
- Disability insurance
- Health insurance
Quick Apply
8d
Accounting Manager
Komatsu America Corp. —Peoria, IL
- $105,000 - $132,000 a year
- Management
- CPA
- Office
- Health savings account
- Disability insurance
Quick Apply
Product Cost Engineer I
Komatsu America Corp. —Peoria, IL
- $64,640 - $84,500 a year
- Oracle
- Engineering
- Mid-level
- Health savings account
- Disability insurance
Quick Apply
Advisory
ITC WORLDWIDE —Peoria, IL
- CPA
- Bachelor of Science
- Mid-level
Quick Apply
Plant Controller
Biourja Renewables LLC —Peoria, IL
- $115,000 - $130,000 a year
- Full-time
- CPA
- Inventory management
- ERP systems
- Paid holidays
- Disability insurance
Quick Apply
Wealth Advisor - Wealth Advisory - Peoria, IL
CliftonLarsonAllen —Peoria, IL
- $72,000 - $151,000 a year
- Full-time
- Mid-level
- Office
- 3 years
- Health insurance
- Dental insurance
Director, Project Accounting
Farnsworth Group —Peoria, IL
- $150,000 - $220,000 a year
- Online Application
- Microsoft Outlook
- CPA
- Office
- Health savings account
- Disability insurance
Quick Apply
Director of Life Underwriting
HOVIN Underwriting Partners —United States
- Full-time
- Remote
- Anatomy knowledge
- Microsoft Outlook
- Bachelor's degree
- Disability insurance
- Health insurance
Quick Apply

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internal audit jobs near mapleton, il

Compliance Officer

Midwestern Securities Trading Company, LLC -
East Peoria, IL

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Job Details

Full-time
$60,000 - $90,000 a year

Benefits

Health savings account
Health insurance
Dental insurance
401(k)
Paid time off
Vision insurance
401(k) matching
Professional development assistance
Opportunities for advancement
Life insurance

Qualifications

Microsoft PowerPoint
Microsoft Word
Microsoft Excel
Microsoft Office
Finance
Bachelor's degree
FINRA License
Accounting

Full Job Description

Compliance Officer

Broker-Dealer & Registered Investment Adviser (RIA)

About Midwestern Securities

Midwestern Securities Trading Company is an independent Broker-Dealer and Registered Investment Adviser (RIA) dedicated to helping community-focused financial institutions grow non-interest income and strengthen client relationships through turnkey investment services programs. Our culture is built on integrity, accountability, collaboration, and a commitment to doing what is right for our clients, advisors, and institutional partners.

As we continue to grow, we are seeking a highly motivated Compliance Officer who will play a critical role in supporting and enhancing our compliance program while serving as a trusted resource to financial professionals, business leaders, and regulatory stakeholders.

Position Summary

The Compliance Officer is responsible for supporting, administering, and enhancing the firm's compliance program for its Broker-Dealer and Registered Investment Adviser operations. This position works independently and collaboratively across the organization to identify compliance risks, monitor regulatory developments, conduct reviews and testing activities, support regulatory examinations, oversee corrective actions, and promote a culture of ethics and regulatory excellence.

The successful candidate will serve as a trusted compliance partner to advisors and internal business teams while helping ensure compliance with applicable SEC, FINRA, state securities, insurance, anti-money laundering, privacy, and company requirements. This position offers significant opportunities for professional growth and advancement within the organization.

Reports to: Chief Compliance Officer

Location: In Office with occasional travel requirements. Remote status consideration for candidates located more than 1 hour from the East Peoria, IL office location.

Key Responsibilities

Compliance Program Administration

Assist in the development, implementation, maintenance, and continuous improvement of the firm's compliance program.
Monitor regulatory developments and support implementation of changes resulting from SEC, FINRA, state, and insurance regulatory requirements.
Maintain and update compliance policies, procedures, supervisory controls, and related documentation.
Support annual compliance risk assessments and compliance program reviews.

Regulatory Oversight & Examinations

Prepare for and assist with SEC, FINRA, state regulatory, insurance, and independent audits and examinations.
Coordinate requests for information and documentation from regulators and external auditors.
Track examination findings and oversee remediation efforts through completion.
Develop and monitor corrective action plans to address compliance deficiencies.

Monitoring, Testing & Surveillance

Conduct compliance reviews, monitoring activities, and testing designed to identify potential regulatory risks.
Assist with branch office inspections and supervisory reviews.
Review advertising, correspondence, and other communications for regulatory compliance, as applicable.
Analyze trends, exceptions, and emerging risks and recommend corrective actions.

Advisor & Business Partner Support

Serve as a compliance resource for financial advisors, branch personnel, and home office staff.
Respond to compliance-related inquiries and provide guidance regarding regulatory obligations and firm policies.
Collaborate with business units to identify practical solutions that balance regulatory requirements and business objectives.

Investigations & Risk Management

Investigate potential compliance concerns and document findings, recommendations, and remediation plans.
Escalate significant issues to leadership, as appropriate.
Support ongoing efforts to identify, assess, and mitigate compliance risks.
Assist with management of conflicts of interest and Code of Conduct matters.

Training & Education

Support development and delivery of compliance training programs.
Promote awareness of regulatory requirements and ethical business practices throughout the organization.
Maintain current knowledge of industry regulations, compliance trends, and best practices.

Special Projects

Lead or participate in strategic initiatives and cross-functional projects.
Support compliance technology enhancements and process improvement initiatives.
Perform additional responsibilities as assigned.

Required Qualifications

Bachelor's degree in:

Finance
Accounting
Business Administration
Economics
Risk Management
Compliance
Law
Related field

Experience

Minimum of 3 years of experience in broker-dealer, investment adviser, banking, compliance, internal audit, risk management, or regulatory environments.
Experience working with SEC and FINRA regulations preferred.
Experience supporting regulatory examinations, audits, or compliance programs preferred.

Licenses & Registrations

Required:

FINRA Series 7
FINRA Series 65 or Series 66

Preferred:

FINRA Series 24
FINRA Series 53
Resident Insurance Producer License

Regulatory Knowledge

Understanding of SEC, FINRA, state securities, and insurance regulations.
Knowledge of supervisory controls, compliance monitoring, and regulatory expectations.

Risk & Analytical Skills

Strong critical thinking and problem-solving abilities.
Ability to identify, evaluate, and mitigate compliance risks.
Experience analyzing information and making sound, risk-based decisions.

Communication & Relationship Management

Excellent written and verbal communication skills.
Ability to communicate effectively with advisors, regulators, auditors, and senior management.
Strong interpersonal skills with a customer-service mindset.

Technology & Data Analytics

Advanced Microsoft Office proficiency, including Excel, Word, Outlook, and PowerPoint.
Experience with compliance management systems, workflow tools, reporting platforms, or regulatory technology solutions preferred.
Experience utilizing data analytics and reporting tools to monitor trends and compliance metrics is a plus.

Organizational Effectiveness

Exceptional attention to detail.
Strong project management capabilities.
Ability to manage multiple priorities in a fast-paced environment.
Ability to maintain confidentiality and exercise sound judgment.

Language Skills

English/Bilingual preferred.

Professional Reference Requirement:

· Candidate must provide two professional references from previous supervisors. References will be contacted only in the final stages of the hiring process.

Why Join Midwestern Securities?

We offer a collaborative environment where compliance professionals are viewed as strategic business partners. Team members receive meaningful opportunities to expand their expertise, contribute to organizational growth, and advance their careers within a respected independent Broker-Dealer and Registered Investment Adviser platform.

Compensation & Benefits

Midwestern Securities offers a competitive compensation package including:

Salary: $60,000-$90,000 annually

· Eligibility for salary increases with quarterly and annual bonuses

401(k) with company match
Medical insurance
Dental insurance
Vision insurance
Health Savings Account (HSA)
Life insurance
Paid time off
Professional development assistance
Continuing education support
Industry licensing and certification support

*Final offer amounts are determined by multiple factors including candidate location, experience and expertise.

Work Environment

This position operates primarily in a professional office environment and requires the regular use of standard business technology and office equipment. The role is primarily sedentary and may require occasional travel for branch inspections, audits, training, conferences, or business meetings.

No VisaSponsorship. Applicants must be authorized to work for ANY employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa at this time.

Job Type: Full-time

Pay: $60,000.00 - $90,000.00 per year

Benefits:

401(k)
401(k) matching
Dental insurance
Health insurance
Health savings account
Life insurance
Paid time off
Professional development assistance
Vision insurance

Experience:

Microsoft Powerpoint: 1 year (Preferred)

License/Certification:

FINRA Series 7 or Series 65 (Required)

Work Location: In person

Quick Apply

Refine Your Search

internal audit jobs in mapleton, il

Compliance Officer

Director of Internal Audit

Assurance Associate (Fall 2027)

Compliance Specialist

Tax Accountant

Accounting Officer

Finance Director

Costing Analyst

Accounting Manager

Product Cost Engineer I

Advisory

Plant Controller

Wealth Advisor - Wealth Advisory - Peoria, IL

Director, Project Accounting

Director of Life Underwriting

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