Compliance officer jobs in Norwalk, CT

Shape your Career with Citi Citi's Global Legal Affairs and Compliance (GLAC) empowers and protects Citi.. Hybrid (Internal Job Title. Compliance Testing Officer. C13) based in Hong Kong. Being part of our team..

Job Purpose Key Accountabilities Support the Code of Ethics Program, including oversight of all personal securities trading, periodic attestations and certifications and related st..

The team also leads our oversight of more than 20 subadvisors and service providers to the funds.Support the Chief Compliance Officers (CCOs) in the preparation, assembly, and dissemination of..

Relocation expenses reimbursed No. Appointment type Permanent. Work schedule Full time. Service Competitive. Promotion potential 12. Job family (Series). 1169 Internal Revenue Officer..

MONECO Advisors, LLC (Fairfield, CT) Seeking Chief Compliance Officer September 15, 2023 If you would.. The CCO is responsible for all compliance and supervisory functions while being a liaison for the firm..

Management of annual mock SEC exam and recurring external internal electronic communications reviews Management and facilitation of annual compliance training and new employee compliance..

Renewal by Andersen was founded with the objective of creating a different and better window and door replacement experience for homeowners. The Compliance Coordinator is responsible for..

billion.The successful candidate will report to the Chief Compliance Officer of 50 South and also the.. This position is part of Northern Trust's Asset Management ( NTAM ) Compliance team, led by the Head of..

Conduct independent regulatory program reviews and Testing. Drafting BSA AML compliance programs and.. Prepare compliance reports for Compliance Officer, Senior Management, and or Board. Assist clients with..

Interactive Brokers LLC is looking for a motivated and talented Head of Compliance Testing who is.. Responsibilities Managing the firm's annual compliance testing program. Coordinating the execution of..

We are seeking a knowledgeable and proactive Compliance Analyst with 2 4 years of experience at an.. The Compliance Analyst will report directly to the Chief Compliance Officer. Please read the following..

The Senior Data Analyst. Compliance will be responsible for researching and documenting data lineage.. This is a compliance role that will work closely with the data governance team and other functions as..

This position will be the primary compliance and oversight professional to help us develop and manage.. Leading a Compliance team within the business unit specific, this role is needed for current support and..

This position will be the primary compliance and oversight professional to help us develop and manage.. Leading a Compliance team within the business unit specific, this role is needed for current support and..

Job Summary The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual.. The President and Chief Compliance Officer will work on building, implementing, and overseeing..

This includes ensuring compliance for denied party screening, drawback filings, free trade agreements.. This role reports to the Director of Regulatory, Tax & Trade Compliance. Responsibilities This role is..