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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 officer The candidate will develop and ... and compliant conduct Maintain high-level oversight of compliance and risk management and organization ... enterprise risk awareness strategies Ensuring compliance efforts..
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..
... 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..
... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The Compliance Officer’s primary focus will be to: ... focus will be to:..
... 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..
Level Management Job Location Central Office-Accounting (CT) - Bloomfield, CT Position Type Full Time Education Level Masters Degree Salary Range Undisclosed Travel Percentage License Required Job Shift First Shift Job Category ..
... 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:..
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..
Chief Compliance Officer The candidate will develop and ... and compliant conduct. Maintain high-level oversight of compliance and risk management and organization ... enterprise risk awareness strategies. Ensuring compliance efforts..
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..
Job Description The Deputy of Compliance Technology position requires knowledge and ... or she will also provide oversight and direction regarding brokerage system ... commodities regulatory reporting obligations. Provide compliance..
... and evolves the US Privacy Compliance/HIPAA program and requirements in compliance with applicable regulations. Will support ... regulations. Will support governance and oversight of the US Privacy Program. .....
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;..
