Regulatory Exam Inquiry Compliance Officer Jobs in Connecticut

Job Description The Deputy of Compliance Technology position requires knowledge and ... knowledge and skills regarding non-financial regulatory reporting obligations of brokers and ... systems to comply with these regulatory..

... for a motivated and talented compliance officer who is familiar with securities ... familiar with securities and commodities regulatory issues and has appropriate experience ... has appropriate experience at..

... for a motivated and talented compliance officer who is familiar with securities ... familiar with securities and commodities regulatory issues and has appropriate experience ... has appropriate experience at..

... seeks a motivated and talented compliance officer familiar with electronic trading processes ... will be the firm’s lead compliance officer in key areas, including the ... each of these..

... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The Compliance Officer’s primary focus will be to: ... focus will be to:..