Compliance Officer: Average Salary in Norwalk, CT in 2024
Find out what the average Compliance Officer salary is in Norwalk, CT
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Senior Compliance Officer - Quantitative Trading
Senior Compliance Officer - Quantitative Trading. Provide ongoing compliance support to WorldQuant Millennium Advisors (". Conduct ongoing WMA compliance reviews. Monitor regulatory changes, updates and industry-wide compliance initiatives. ...
Compliance Officer - Mutual Funds
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...
Compliance Officer
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...
BDO Capital Advisors, President & Chief Compliance Officer
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...
Compliance Testing Officer
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...
Compliance Officer - Systems and Operations (USA or India)
Operational Systems Compliance - Monitoring operational functioning and the portfolio process for compliance, including positions, order activity and other systematic parts of the process in keeping with procedural requirements, for potential errors as well as monitoring conduct. Product and Financi...
Sr. Compliance Officer, Asset Management - Alternatives
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...
Business Analyst
Conducts analyses based on operational, market, economic and/or financial data in order to build business cases and models to derive business insights and inform decisions. Builds the business cases for presentation to management/leadership to identify and/or improve OTC portfolio and commercial bus...
Security Officer Part Time
As a Security Officer, you will serve and safeguard clients in a range of industries such as Commercial Real Estate, Healthcare, Education, Government and more. Allied Universal, North America's leading security and facility services company, provides rewarding careers that give you a sense of purpo...
Manager, Global Compliance
JobPosting","title":"Manager, Global Compliance","datePosted":"2024-08-26T00:00:00","validThrough":null,"description":"What you will be doing\nYou will lead and oversee PMI's organization-wide legal policy compliance and risk management involving global legal regulatory requirements for development ...
Security Officer Community Center
Security Officer Community Center. As a Security Officer, you will serve and safeguard clients in a range of industries such as Commercial Real Estate, Healthcare, Education, Government and more. Allied Universal, North America's leading security and facility services company, provides rewarding car...
Physical Security Officer I
Are you a strong leader with institutional security knowledge? Can you quickly assess situations and act with integrity to resolve security risks? If you have a strong sense of service and desire to support your community, a Physical Security job with Spectrum may be right for you. Our Corporate Phy...
Technology Compliance - Senior Analyst
The Senior Compliance Analyst's primary focus will be to:. Interactive Brokers is looking for a motivated, IT audit, risk or compliance professional with experience working in financial services, or similar regulated environment. Support compliance coverage of the firm's technology and data ...
Compliance, Regulatory Reporting - Associate
Capital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This position will work closely with the Assistant Vice President of Regulatory Reporting and the Chief Compliance Officer Advisers on a variety of compliance matters, most specifically those pertaini...
Director of Compliance
The Director of Compliance is responsible for overseeing and ensuring that NourishedRx adheres to regulatory requirements and internal policies. Serve as the primary point of contact for all external compliance communications; collaborate with various departments to ensure compliance. They will lead...
Business Analyst / Project Manager
You'll drive activities to adequately prepare the business and engage all the appropriate stakeholders effectively to enable change to be implemented and handed over. Drive the creation of a financial business case. Experience of delivering regulatory projects that support a business strategy and it...
Audit Manager, Consumer Compliance
Audit Manager, Consumer Compliance. Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud Examiner (CFE). ...
Business Analyst
We are seeking a proactive and detail-oriented Business Analyst in the Finance Operations team. As a Business Analyst, you will work within the Finance Operations organization to identify issues with customer billing, and various other data. Kaseya's best-in-breed technologies allow organizations to...
Compliance Director - Institutional Equities, Options & Fixed Income
Citizens institutional broker-dealer, is seeking a highly skilled Compliance Director to lead our advisory and trade surveillance efforts. As the Director of Institutional Equities, Options, and Fixed Income Compliance, you will be responsible for overseeing both advisory and trade surveillance func...
Solutions Advisory Director, Compliance Solutions, Accounting & Consulting
The Solution Advisory Director is a solution and domain specialist in our Solution Advisory Group for our Compliance solutions in the Accounting & Consulting industry including Employee Compliance, Intake, Conflicts, and Terms. Solutions Advisory Director, Compliance Solutions, Accounting & Consulti...
Manager / Senior Manager, Compliance & Reporting Specialist
Manager / Senior Manager, Compliance & Reporting Specialist. Work with KPMG's extensive network of specialists & enjoy access to our Ignition Centers, where deep industry knowledge merges with cutting-edge technologies to create innovative tax solutions. KPMG is currently seeking a Manager / Senior ...
Drawback & Export Compliance Manager
We desire to operate an effective, efficient, and agile best in class Regulatory Compliance function capable of adapting to an increasingly challenging, connected, and digital environment. As part of our team, you will lead and operate a fully compliant and efficient Drawback and Export Compliance t...
Business Analyst
As a business analyst, you will receive training and coaching on how to better:. We view the business analyst position as the start of a rewarding, challenging, and highly flexible career with McKinsey. During your first few years with the firm, you will serve as a business analyst on multiple clien...
International Compliance Analyst (Hybrid, Bilingual)
The International Compliance Analyst will be responsible for supporting our international offices and international compliance programs with a focus in Latin America. The role requires a strong understanding of compliance principles, experience working within a global compliance program, and perform...
Seasonal Unarmed Security Officer - Healthcare Facility
Seasonal Unarmed Security Officer - Healthcare Facility. You must be able to perform routine foot patrols, moderate lifting, and work in all-weather elements as an Unarmed Security Officer. Prosegur Security is looking to fill multiple. Prosegur is one of the largest security providers in the world ...