Bank Compliance Officer Jobs in Connecticut

Director - Workout Officer, Commercial Credit Risk & Analytics ... the duties of a lending officer and be responsible for the ... and programs employed by the Bank. Capable of..

Director of Compliance Responsibilities: Provide reasonable assurance to ... on existing and emerging regulatory compliance requirements across the organization. Developing ... the organization. Developing the annual compliance work plan that..

Manager Compliance, Personal Securities Trading Duties: Lead, ... operations which consist of reviewing compliance reports, managing the preclearance approval ... Partner with local business unit Compliance Officers to execute or..

Manager Compliance - Personal Securities Trading Duties: ... operations which consist of reviewing compliance reports, managing the preclearance approval ... Partner with local business unit Compliance Officers to execute or..

Director and Senior Counsel The candidate will be trusted business partner to advise NWM on providing its services in an efficient and practical yet well-controlled and compliant manner. Track developments in ..

... and evolves the US Privacy Compliance/HIPAA program and requirements in compliance with applicable regulations. Will support ... Program. Serves as US HIPAA Officer, with associated responsibilities including liaising .....

Salary: Compliance Officer opportunity, reporting to the CCO, ... include other investment management regulatory compliance duties, i.e., review and provide ... company. Prior Investment Management/ Adviser Compliance experience is preferred..

... for a motivated and talented compliance officer who is familiar with securities ... back office functions. Responsibilities: The Compliance Officer – Special Products and Back ... stock lending and..

Chief Compliance Officer The candidate will develop and ... conduct. Maintain high-level oversight of compliance and risk management and organization ... enterprise risk awareness strategies. Ensuring compliance efforts are documented,..

Director & Senior Counsel The candidate will be a trusted business partner to advise NWM on providing its services in an efficient and practical yet well-controlled and compliant manner. Will track ..

... seeks a motivated and talented compliance officer familiar with electronic trading processes ... will be the firm’s lead compliance officer in key areas, including the ... each of these..

Chief Compliance Officer - Investment Management The candidate ... management as well as ensuring compliance with the evolving regulations. Firm ... procedures and SEC filings. Provide compliance support to fixed..

Chief Compliance and Regulatory Officer (CCRO) The candidate will serve ... senior management team on operational compliance and regulatory matters, providing advice, ... federal regulatory changes. Ensure that compliance guidance..

Senior Compliance Officer The candidate will prepare written ... presentations, and dashboards and other compliance metrics that, with regard to ... and record management: (i) outline compliance efforts related thereto;..

... for a motivated and talented compliance officer who is familiar with securities ... regulations is preferred. Responsibilities: The Compliance Officer – Advisor Regulation will be ... be responsible for:..

IBG seeks a bright and organized professional to serve as a Legal Documentation Specialist / Paralegal to work on domestic and international banking and brokerage projects managed by the Group's CFO. ..