Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. VP, Compliance Testing Officer - Hybrid. Internal Job Title: Compliance Testing Officer- C...
Interactive Brokers | Compliance Officer – Electronic Trading. ...
The CCO is responsible for all compliance and supervisory functions while being a liaison for the firm leaders and may designate other individuals for compliance assistance, such as maintaining logs, compliance research, etc. MONECO Advisors, LLC (Fairfield, CT) Seeking Chief Compliance Officer. Con...
The Wealth Management Compliance Officer is responsible for ensuring that an appropriate compliance control infrastructure and culture is maintained and enhanced - supporting the business, providing advice, developing and implementing solutions and enhancements in relation to business initiatives an...
Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligations. Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered U. Support the local compliance monitoring and testing pro...
The Compliance Officer - Broker Dealer Sales Practices will work with Distribution Personnel and will focus on compliance with US and Latin America sales practices including:. The Global Compliance group is responsible for ensuring that Franklin Templeton follows all rules and regulations and that i...
Support the Code of Ethics Program, including oversight of all personal securities trading, periodic attestations and certifications and related staff regulatory reporting obligations.Administer and manage a regional Code of Ethics programs, across multiple branch offices and investment platforms.In...
The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The President and Chief Compliance Officer will work on building, implementing, and overs...
This is a contract opportunity.Position: Phlebotomist 8361Location: Issaquah, WASchedule: see belowProjected duration: 3 months + potential for permJob code:CVDJP00028361 benefits are available two positions open , will need one candidate to work 7:30AM to 4:30PM PST and the other worker will need t...
Global Regulatory Compliance, Mutual Funds is a five-person team responsible for overseeing the compliance programs of the US domiciled registered investment companies for the Chief Compliance Officers. Support the Chief Compliance Officers (CCOs) in the preparation, assembly, and dissemination of t...
The primary responsibilities of the Compliance Testing Officer include:. Managing the firm’s annual compliance testing program. Assist in the development of the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with rel...
The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern Trust’s Asset Management (“NTAM”) Compliance team, led by the Head of Compliance for Asset Manageme...
This role involves overseeing the development and implementation of compliance programs and serving as the critical point of contact for regulatory agencies and business partners regarding product compliance matters. Conduct or oversee product compliance assessments, audits, and risk analyses to ide...
If you are looking to learn a new profession that is both dynamic and contributes to the safety of society, this opportunity may be for you! We are seeking someone to assist our Compliance Specialist in interpreting, organizing and scanning safety sensitive information into a secured central databas...
The responsibilities of the Compliance Specialist are to effectively develop, coordinate, and communicate commercial insurance product filings; perform regulatory research; and provide additional support and other regulatory functions as directed. Candidate will have expertise with ISO, NCCI, SERFF,...
Perosphere Technologies is hiring a General Counsel. The General Counsel, will support a wide variety of global matters related to the design, manufacture, distribution and sale of medical devices including product submissions, premarket activities, marketing and promotion, quality system regulation...
Management and facilitation of annual compliance training and new employee compliance onboarding and training. Supporting the firm’s Code of Ethics and ensuring compliance with regulatory requirements including new hire and ongoing certifications, and personal trading and political contributions, gi...
Seeking a Compliance Associate to join a $2B alternative asset manager. This hire will report to the General Counsel/Chief Compliance Officer. Support compliance programs, including mock SEC exams and annual training. Update and manage the Compliance Manual and policies. ...
General Counsel for Project Finance Renewables, you will be responsible for providing legal counsel and strategic guidance on all legal matters related to renewable energy project finance initiatives. The role of General Counsel for Project Finance Renewables requires a strategic thinker with a deep...
Western CT Healthcare System is hiring a Privacy Compliance Auditor for a long term contract role. We are in need of an individual who can manage and respond to privacy compliance related incidents, investigations, and breaches. Must have previous compliance experience in privacy. ...
LAW FIRM SEEKING AN EXPERIENCED COO.We are looking for a Legal COO who plays all in.Who deeply understands employee engagement, is metrics-driven and KPI-obsessed, and gets fired up at finding a better way to improve and grow us and with us.Who is a virtuoso implementer who loves leading people and ...
This position is a key member of the compliance team for the Groton, CT and Tilton, NH sites and will support the Facility Compliance Officer (FCO) with establishing and maintaining robust trade compliance programs that meet export regulatory requirements and support the day-to-day operational needs...
As a Trade Compliance Analyst, youll be part of our Global Trade Compliance team working as a Virtual employee. Trade Compliance Analyst New Britain, CT. Provides support for other compliance related activities within the department in accordance with SBD policies, ensuring consistency and complian...
New London County Security Officer Needed (Montville, Mystic & Groton). The Reserve Security Officer position you will be monitoring and patrolling different client sites on a variety of schedules. Frequently our Security Officers will provide customer service and information to a client's employees...
The Security Guard/EMT is responsible for performing scheduled security checks of the community, including securing all doors, checking outside lighting, set residential indicators, radio checks and reporting any/all unusual occurrences. Meadow Ridge is currently hiring for EMT/Security Staff. One (...