Compliance Officer Jobs in Connecticut

Program Manager, Legal Compliance The candidate will assist on ... build upon the existing decentralized compliance infrastructure to implement a uniform, ... to implement a uniform, risk-based compliance program for..

Tax Accountant, Tax, Global Compliance & Reporting (Manager) The candidate will provide clients with tax guidance and planning related to tax compliance and reporting. Will work on key client issues in ..

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..

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..

... 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:..

Compliance Manager The candidate will manage foundational and strategic compliance responsibilities with consistent excellence that support the team and management. Will manage/oversee projects, initiatives, regulatory audits or exams, internal audits, accreditations, ..

... 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,..