Compliance officer jobs in Stamford, CT

Compliance Officer. Regulatory Counsel. Regulated Funds (1940 Act) A prestigious Asset Manager focused.. This position is based in Greenwich, CT. Responsibilities. The Compliance Officer. Regulatory Counsel..

Responsibilities Performing broker dealer compliance testing reviews aimed at assessing the.. Assist in the development of the firm's compliance testing program, including testing procedures..

Responsibilities The primary responsibilities of the Compliance Testing Officer include. Managing the.. Experience in a compliance testing or audit role is strongly preferred.Experience testing regulatory..

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..

Billion Stamford Alternative Asset Manager Seeks a Compliance Officer Regulatory Counsel. Reporting.. Reporting to the CCO. Oversee Investment Company Mutual Fund Compliance. Manage the Regulatory..

Key Responsibilities Reviewing and implementing new Compliance policies and procedures for the firm.. Assist with Trade Compliance monitoring. Monitor regulatory changes for the firms main regulators..

Role. Compliance Professional ABS Global Investments (Greenwich, CT) is looking for an onsite compliance.. Implementation and or supervision of new SEC requirements into compliance program. Proactively..

We're looking for someone to join our team and become the manager of regulatory compliance for a.. This opportunity is ideal for a compliance professional who strives to work on diverse projects in a..

Any compliance related background is beneficial but not required. This attorney will report to the.. 15 billion of assets under management. Assist the Chief Compliance Officer with matters relating to..

The Retail Compliance Coordinator at Marc Fisher Footwear would be expected to assist and coordinate key.. The Compliance Coordinator will report to the Director of Compliance. The position will be based out of..

Day remote after 90 days probation , then 4 days in office and 1 remote day per week The Compliance Manager is responsible for coordinating and performing all pre delegation and annual due..

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..

Title. Vice President of Compliance Total Compensation. 300,000.00. 400,000.00 (including bonus.. For the right candidate, this role has the potential to grow into a Chief Compliance Officer position..

R. Berkley and our President and Chief Executive Officer, W. Robert Berkley, Jr., W.R. Berkley.. Responsibilities The HR Compliance Manager is responsible for defining and documenting policies and..

What you 'll doWe are seeking a Compliance Associate with Legal or Compliance experience to join the Broker Compliance team.In this role, you will work as a member of Broker Compliance to..

Asset management company located in Stamford Connecticut looking to bring on board a. Compliance Analyst. to join their team. They are currently in office (2 days a week).Responsibilities..

Description & SummaryA career in our Healthcare Compliance practice, within Risk and Compliance.. We help to design, develop, and enhance their healthcare compliance programme by aligning their business..

High End Mid Sized Fund seeks Compliance Associate with 1 3 years of experience. We are looking for an.. portfolio and trade surveillance to ensure that the firm maintains compliance with client guidelines and..