Compliance Officer Banking Jobs in Connecticut

Job Description Interactive Brokers has been at the forefront of the Fintech space for over 42 years. We continue to challenge the status quo and push boundaries to offer the best ..

... 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:..

... in Consumer and Small Business Banking, as part of Branch Banking. Learn more about our career ... analyze moderately complex customer concernsnEscalate banking related issues or business risks .....

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 ... conduct. Maintain high-level oversight of compliance and risk management and organization ... enterprise risk awareness strategies. Ensuring compliance efforts are documented,..

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..

... building from current risk and compliance models to get ready for ... advisor to clients especially within banking, capital markets, insurance, Life Sciences, ... know youll stay ahead of..

We pride ourselves on building close relationships with our customers to understand their specific needs and provide tailored solutions for their business. Over the years we have grown, although our commitment ..

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..

... 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:..

... 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 ..

Job Description Interactive Brokers has been at the forefront of the Fintech space for over 42 years. We continue to challenge the status quo and push boundaries to offer the best ..

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..

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..

... 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 .....

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..

Job Description The Deputy of Compliance Technology position requires knowledge and ... commodities regulatory reporting obligations. Provide compliance guidance and input regarding business ... and tested as appropriate in compliance..

Director - Workout Officer, Commercial Credit Risk & Analytics ... the duties of a lending officer and be responsible for the ... time and money while maintaining compliance with regulatory..

... 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..

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;..

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 ..

Description The Director, Compensation develops, implements, and administers compensation programs. The Director, Compensation requires an in-depth understanding of how organization capabilities interrelate across the function or segment. Responsibilities The Director, Compensation ..