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Compliance Officer jobs - Greenwich, CT

Viewing 1 - 10 of 5,844 jobs

  • Exec/Admin / Other / New York / Permanent / Compliance Officer- Health care

    Refuah Health Center - Spring Valley, NY

    The compliance manager acts as a staff to the President/CEO and Governing Board and together with the Compliance Committ ... of the compliance hotline.7. Identifies potential areas of compliance vulnerability and risk, develops andimplements...

    1 day ago from StaffPhysicianRecruiter.com

  • Vice President, Corporate Compliance - Business Line Compliance Officer

    Mitsubishii UFJ Financial Group - New York City, NY

    compliance-related matters as outlined in the Compliance Officer/Compliance Liaison Officer Appointment Letter. ... compliance issues raised by bank regulators, IAOA and Compliance Testing. Coordinate the implementation of corrective...

    30+ days ago from Mitsubishii UFJ Financial Group

  • Compliance Officer/Analyst-Sec. & Deriv.

    Silversearch - New York City, NY

    the firmrsquos Regulatory Controls Review program and compliance risk assessment efforts for the regulatory ... management discipline would a plus but not essential.. Compliance- Securities, Derivatives, Broker Dealer,...

    2 days ago from Dice

  • Chief Quality Officer

    CPR My Career - Stamford, CT

    Chief Quality Officer -100K -20+ years of experience required. -Bachelors Degree required. -Experience with an acute ... and coordinate all hospital efforts to monitor and maintain compliance with all regulatory, State, Federal government,...

    10 days ago from CPR My Career

  • Compliance Officer - Hedge Fund

    Compliance Search Group - Norwalk, CT

    Compliance Officer- Hedge Fund An Alternative investments firm seeks a Compliance Officer Professional will be ... of Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's top-tier...

    9 days ago from The Ladders

  • Compliance Officer -Alternatives Investments

    Compliance Search - New York City, NY

    Responsibilities Include: Provide advisory Compliance support to the Alternatives businesses which offer investment ... through a variety of investment structures; Represent Compliance in the new product approval process which...

    2 days ago from Doostang

  • Compliance Officer - Policies & Procedures

    Private Wealth & Asset Management Firm - Stamford, CT

    UBS AG, a global financial services company, seeks a Compliance Officer to oversee the the policies and ... across business divisions documenting regional compliance procedures, including the development of a...

    6 days ago from IvyExec

  • Derivative Products Compliance Officer

    UBS - Finance Industry - Stamford, CT

    As a Derivatives Products Compliance Officer, you will be responsible for developing and implementing policies, ... trading. • Assist in day-to-day functioning of Compliance’s coverage of UBS’ FX and derivatives trading...

    30+ days ago from VelvetJobs

  • Compliance Officer

    Financial Services - Greenwich, CT

    A top broker-dealer in Greenwich, CT is seeing a Compliance Officer with 4-10 years experience with the SEC, FINRA, ... District of Columbia or appropriately registered compliance officer (i.e. at least a Series 24 and/or Series 3...

    7 days ago from ZipRecruiter

  • Investment Advisory Compliance Officer

    Compliance Search Group - New York City, NY

    Investment Advisory Compliance Officer Our Client, a top bank seeks a senior level compliance officer for their ... and present results to the Chief Compliance Officer and other senior executives • Conduct compliance risk...

    1 day ago from The Ladders

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