Capital Markets Compliance Jobs in Norwalk

Vice President, General Counsel Responsibilities: Responsible to meet or exceed all goals and key performance indicators (KPIs). Principal responsibility for all Company SEC filings, including periodic reports, proxy statements, registration statements ..

... looking to hire a Senior Compliance Analyst at the Chicago Office. ... Analysts will report to a Compliance Manager and will assist with ... will have 2-5 years regulatory..

... Information Deloitte Deloitte Advisory –Securitization Capital Markets Services - Sr. Consultant in ... Connecticut Deloitte Advisory – Securitization Capital Markets Services: Deloitte’s Securitization Capital Markets Services team is solely..

As an Internal Auditor , you will perform compliance, financial and operational audits for Interactive Broker’s global brokerage entities, focusing on regulatory reporting audits. Key Responsibilities Conduct internal audits of our ..

Legal Counsel M&A and Commercial The candidate will work with the General Counsel, Assistant General Counsel, and Chief Strategy Officer to support the Company’s transactional practice including mergers, acquisitions, joint ventures ..

Tax Consultant II - Nat'l Federal Tax Services - Partnership Compliance Group (PSG) Duties: Assist clients with life events for partnerships (e.g. formations, mergers, initial public offerings), inside and outside basis ..

Corporate Securities Associate The candidate will be on preparing securities filings, merger agreements, underwriting agreements, securities filings, negative assurance letters, and opinion letters, drafting a proxy statement for shareholders, and, reviewing ..

Tax Manager - Financial Services Duties: Provide tax compliance, provision and advisory services to partnerships, corporations, international, and S-corporations for a variety of clients in the banking, investments, asset management and ..

... Information Deloitte Deloitte Advisory –Securitization Capital Markets Services CLO - Consultant in ... of the vast and ever-changing capital markets environment? Have a passion for ... explanations for discrepancies..

Tax Senior - Private Client Services Duties: Provide tax compliance, provision and advisory services to partnerships, corporations and S-corporations for a variety of clients in the banking, investments, asset management and ..

... and reporting operational risks. Monitors compliance with operational risk policies and ... risk category executives (e.g., Credit, Compliance, Market, Model, Reputation, and Strategic) ... action. Effectively manages assigned human..

... business development opportunities. Provide tax compliance, provision and advisory services to ... banking, investments, asset management and capital markets industries. Plan, budget and lead ... to business analysis, managing..

... of Global Control Room and Compliance Surveillance The candidate will maintain ... issues to Desk Heads and Compliance. Oversight of permitted communications between ... information barriers, investment banking and..

Aon is looking for U.S. Core Retirement Local Practice Leader—Norwalk, CT  The Core Retirement Local Practice Leader (LPL) is viewed as the leader of the office for Core Retirement colleagues and ..

Tax Senior Manager - Nat'l Federal Tax Services - Partnership Compliance Group (PSG) Duties: Refine your skillset with the ability to work with large-scaled operating partnership tax clients on matters that ..

... Brokers is looking to hire Compliance Sanctions Testing Analysts for a ... considered. Analysts will report to Compliance Managers from Sanctions and Quality ... area for testing of Sanctions..

... in administering a Swap Dealer Compliance program. Advising Sales and Trading ... rules and regulations. Working with Compliance Assurance to ensure compliance testing is appropriate based on ... the..

... Information Deloitte Deloitte Advisory –Securitization Capital Markets Services - Manager in Stamford ... Stamford Connecticut Deloitte Advisory –Securitization Capital Markets Services: Deloitte’s Securitization Capital Markets Services team is solely..

... a full-time remote Quality Assurance Compliance Analyst who resides in New ... report to a Quality Assurance Compliance Manager in our Chicago Office ... candidate will have some regulatory..

Tax Senior - Private Client Services The candidate will provide tax compliance, provision and advisory services to partnerships, corporations and S-corporations for a variety of clients in the banking, investments, asset ..

Interactive Brokers is looking for a motivated and talented regulatory attorney with experience in securities and commodities issues in the broker-dealer and futures commission merchant space, who is interested in joining ..

Tax Senior - Nat'l Federal Tax Services - Partnership Compliance Group (PSG) Duties: Refine skillset with the ability to work with large-scaled operating partnership tax clients on matters that mean the ..

... business development opportunities. Provide tax compliance, provision and advisory services to ... banking, investments, asset management and capital markets industries. Plan, budget and lead ... to business analysis, managing..