Compliance Officer: Average Salary in Stamford, CT in 2024
Find out what the average Compliance Officer salary is in Stamford, CT
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Interactive Brokers | Compliance Officer – Electronic Trading
Interactive Brokers | Compliance Officer – Electronic Trading. ...
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 Financ...
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...
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...
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...
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 - 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...
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...
Corporate Compliance Expert - TPRM Focus (Director, Analyst - Remote United States)
Head of Risk/ERM, Chief Audit Executives, GC, Chief Compliance & Ethics Officer, CEO, and Board of Directors). As part of Gartner's Corporate Assurance Practice, you will join a dynamic team focused on advising Legal, Risk, Compliance and other assurance leaders on emerging technologies, vendors, ma...
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...
Financial Crime Risk Management (FCRM) Compliance Manager
Financial Crime Risk Management (FCRM) Compliance Manager. ...
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...
Analyst - Communications Compliance
Interactive Brokers seeks a motivated and talented individual to join its Compliance group. The candidate will report to the Communications Compliance Officer and focus on helping the Firm stay up to date necessary in its communications database. Develop and distribute periodic reports to management...
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). ...
Manager, International Compliance Services
Our team members are highly knowledgeable and have diverse backgrounds in tax compliance, including tax technical compliance and reporting requirements, Pillar II compliance, process and technology enhancement, advanced calculations, and compliance and reporting for inbound and outbound businesses. ...
Director, Compliance - Advertising and Marketing Review
The Director will be responsible for facilitating the day-to-day operations of the Firm's marketing compliance program, including directly overseeing reviews of advertising and marketing materials (including social media) for the Firm's Registered Investment Adviser and Broker-Dealer, and monitoring...
Business Process Analyst
Role:- Business Process Analyst. The analyst conducts complex analysis on current and future state business processes and workflows with the objective of finding out how they can be improved or automated. This role requires understanding of the structure, policies, and operations of the Spectrum lin...
IT Controls Compliance Analyst
We are seeking an IT Controls Compliance Analyst to work with a large client in the banking industry. ...
Insurance Regulatory Compliance Analyst
You will work on regulatory compliance matters related to PartnerRe's Accident & Health Business including producer appointment support, regulatory filings, state regulator inquiries, and cyber security compliance initiatives. Provide support for the regulatory compliance needs of PartnerRe North Am...
Director Quality Systems and Compliance
The QS and Compliance director is accountable for the management of the QS and compliance team and associated direct reports. The QS and Compliance director will work collaboratively with the Director of Quality Operations and site leadership team to ensure company business goals and objectives, str...
Director Environmental Compliance
The Director of Environmental Compliance is in charge of establishing, implementing, and overseeing corporate environmental programs, permitting, remedial efforts, and ensuring compliance with government regulatory authorities. Partner across functions to ensure robust systems in place to meet regul...
Director of Compliance Payments
This position will be the primary compliance and oversight professional to help us develop and manage the compliance function within the Digital Payments Business at Patriot Bank, including compliance matters with respect to regulated activities in coordination with our partner firms. We are looking...
Director, Compliance - Advertising and Marketing Review Stamford, Connecticut, United States
The Director will be responsible for facilitating the day-to-day operations of the Firm’s marketing compliance program, including directly overseeing reviews of advertising and marketing materials (including social media) for the Firm’s Registered Investment Adviser and Broker-Dealer, and monitoring...
P&C Compliance Analyst - Statistical Reporting - GenStar
P&C Compliance Analyst - Statistical Reporting - GenStarShape Your Future With UsGenStar Insurance Services, LLC is a premier provider of excess, surplus, and specialty property and casualty insurance written on General Star Indemnity Company (non-admitted) and General Star National Insurance Co...
Flex Security Officer- Stamford $20/hr
The Flex Security Officer will play a crucial role in providing security services to various client sites, with a willingness to work 2nd and 3rd shifts, including weekends. Flex Security Officers Needed!. Job Description: We are currently seeking individuals to join our team as a Flex Security Offi...