Interactive Brokers | Compliance Officer – Electronic Trading. ...
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...
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...
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...
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...
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 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...
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...
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...
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Financial Crime Risk Management (FCRM) Compliance Manager. ...
In addition to investment-related responsibilities, the Counsel will oversee all general corporate, employment, IP, and governance matters for Palm, and play a similar role supporting portfolio companies with general legal matters including employment, leasing, partnership agreements, contracts, wit...
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. ...
This is a full-time position is to act as general counsel to the Firm and transaction counsel on deals. Clients are generally Global Fortune 500 companies. In addition, you will provide training to other team member in term sheet and confidentiality related matters and you will coordinate the relati...
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...
Our client is one of the fastest growing wellness and personal care companies in the world and they are seeking a highly skilled and experienced Senior Manager of Global Trade Compliance to join their team. This position will be responsible for managing all aspects of international trade operations,...
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 ...
Chief Operating Officer - Audit. ...
This includes assisting the Chief Compliance Officer with regulatory filings and registrations, administering the Code of Ethics, books and records maintenance, assisting in the development and implementation of policies and procedures to ensure compliance with The Investment Advisor's Act of 1940 (...
Security Officer Financial Institute Bridgeport, Connecticut Save Job Responsibilities Career Path Rewards Security Officer Financial Institute Position Type Full Time Shift Type Afternoon,Evening,Morning Req ID 2023-1120077 Work Days Available Monday - Friday,Saturday - Sunday Allied Universal, Nor...
Security Officer High End Residences Stamford, Connecticut Save Job Responsibilities Career Path Rewards Security Officer High End Residences Position Type Full Time Shift Type Morning Req ID 2024-1184452 Work Days Available Monday - Friday,Saturday - Sunday Allied Universal, North America's leading...
Based out of The Botanist - Montville, the Security Officer, in coordination with their manager, works to keep the employees and patients safe in an environment requiring exceptional customer service skills to work in a fast pace environment. Monitor access in and out of the dispensary, helping disp...
Within Contract Compliance, this individual will also provide support to the Director, Contract Compliance as it pertains to managing the terms and conditions of complex contractual rebate obligations to managed care, institutional, retail and wholesale customers for the life of the contract and ens...
The Compliance Associate will work directly alongside the General Counsel to develop, implement, and enforce rigorous compliance policies and procedures. We are a technology-led hedge fund seeking a highly motivated Compliance Associate to play a pivotal role in our growth trajectory. Lead and manag...