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35

Securities Compliance Jobs in Connecticut





Job info
 
Company
**********
Location
Greenwich, CT
Posted Date
Sep 03, 2021
Info Source
Employer  - Full-Time  90  

... for a motivated and talented compliance officer who is familiar with ... officer who is familiar with securities and commodities regulatory issues and ... regulations is preferred. Responsibilities: The..

 
Company
**********
Location
Greenwich, CT
Posted Date
Sep 04, 2021
Info Source
Employer  - Full-Time  90  

... for a motivated and talented compliance officer who is familiar with ... officer who is familiar with securities and commodities regulatory issues and ... back office functions. Responsibilities: The..

 
Company
**********
Location
Bridgeport, CT
Posted Date
Oct 10, 2021
Info Source
Employer  - Full-Time  90  

Job Information Humana Compliance (UM) Coordinator 2 in Bridgeport ... in Bridgeport Connecticut Description The Compliance (UM) Coordinator 2 conducts and ... Coordinator 2 conducts and summarizes compliance audits. The..

 
Company
**********
Location
Greenwich, CT
Posted Date
Apr 30, 2022
Info Source
Employer  - Full-Time  90  

... is looking for an experienced Compliance Analyst with 5 years of ... years of experience in a compliance role, preferably in the commodities ... preferably in the commodities or..

 
Company
**********
Location
Greenwich, CT
Posted Date
Dec 07, 2021
Info Source
Employer  - Full-Time  90  

Job Description and Responsibilities The Interactive Brokers Group (IBG LLC) is looking for an experienced Compliance professional with a background in regulatory reporting including such systems as: FINRA OATS and stock ..

 
Company
Interactive Brokers Group, Inc.
Location
Greenwich, CT
Posted Date
Apr 15, 2022
Info Source
Employer  - Full-Time  90  

... is looking to hire a Compliance Analyst at the Chicago or ... to the Financial Advisor (“FA”) Compliance Team Lead and will assist ... of the firm’s financial advisor..

 
Company
**********
Location
Hartford, CT
Posted Date
Feb 26, 2022
Info Source
Employer  - Full-Time  90  

... building from current risk and compliance models to get ready for ... know youll stay ahead of compliance issues. The work: Assess risk ... working in risk and regulatory..

 
Company
**********
Location
Greenwich, CT
Posted Date
Apr 30, 2022
Info Source
Employer  - Full-Time  90  

... is looking for an experienced Compliance Analyst with 5 years of ... years of experience in a compliance role, preferably in the commodities ... preferably in the commodities or..

 
Company
**********
Location
Greenwich, CT
Posted Date
Mar 01, 2023
Info Source
Employer  - Full-Time  90  

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

 
Company
Humana Inc.
Location
Bridgeport, CT
Posted Date
Apr 22, 2023
Info Source
Employer  - Full-Time  90  

Job Information Humana Manager, Compliance - Agent Investigation Unit in ... Bridgeport Connecticut Description The Manager, Compliance ensures compliance with governmental requirements. The Manager, ... with governmental requirements. The Manager,..

 
Company
**********
Location
Greenwich, CT
Posted Date
Aug 26, 2022
Info Source
Employer  - Full-Time  90  

... of brokerage industry regulations for securities and commodities, and experience with ... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The..

 
Company
**********
Location
Greenwich, CT
Posted Date
May 06, 2022
Info Source
Employer  - Full-Time  90  

... for a motivated and talented compliance analyst who is familiar with ... who is familiar with U.S. securities and/or commodities regulations and has ... experience in regulatory exam management,..

 
Company
**********
Location
Hartford, CT
Posted Date
Feb 28, 2022
Info Source
Recruiter  - Full-Time  90 

Salary: Compliance Officer opportunity, reporting to the CCO, with a well-regarded Investment/Asset Management organization. This role will focus heavily on Contract drafting/revising/negotiating of Investment Management agreements and amendments, accounting services agreements ..

 
Company
**********
Location
Bridgeport, CT
Posted Date
Dec 18, 2021
Info Source
Employer  - Full-Time  90  

Job Information Humana Senior IT Compliance Professional- Controls Management (Remote / ... for a talented risk and compliance expert to help build a ... IT leaders to ensure Humana's compliance..

 
Company
**********
Location
Bridgeport, CT
Posted Date
Feb 07, 2022
Info Source
Employer  - Full-Time  90  

Description The Supply Chain Professional 2 reports through Humana's Pharmacy Supply Chain and performs DSCSA (Drug Supply Chain Security Act) compliance related tasks in support of Humana's Pharmacy inventory receiving operations. ..

 
Company
**********
Location
Greenwich, CT
Posted Date
Aug 26, 2022
Info Source
Employer  - Full-Time  90  

... Governance efforts. Responsibilities The Senior Compliance Data Analyst’s primary focus will ... focus on data leveraged by Compliance Collaborate with technical and business ... destination data maps for AML..

 
Company
**********
Location
Greenwich, CT
Posted Date
Aug 27, 2022
Info Source
Employer  - Full-Time  90  

... of brokerage industry regulations for securities and commodities, and experience with ... and commodities, and experience with compliance, internal controls and risk management. ... risk management. Responsibilities The Senior..

 
Company
**********
Location
Bridgeport, CT
Posted Date
Apr 07, 2023
Info Source
Employer  - Full-Time  90  

Job Information Humana Compliance Lead - Remote in Bridgeport ... in Bridgeport Connecticut Description The Compliance Lead ensures compliance with governmental requirements. The Compliance Lead works on problems of .....

 
Company
**********
Location
Greenwich, CT
Posted Date
Jan 22, 2022
Info Source
Employer  - Full-Time  90  

... for a motivated and talented compliance officer who is familiar with ... officer who is familiar with securities and commodities regulatory issues and ... and back-office functions. Responsibilities: The..

 
Company
**********
Location
Bridgeport, CT
Posted Date
Aug 26, 2022
Info Source
Employer  - Full-Time  90  

Description The Manager, Compliance - Medicaid State Reporting ensures ... - Medicaid State Reporting ensures compliance with governmental requirements. The Manager, ... with governmental requirements. The Manager, Compliance - Medicaid..

 
Company
**********
Location
Greenwich, CT
Posted Date
Feb 11, 2023
Info Source
Employer  - Full-Time  90  

... Brokers is looking to hire Compliance Sanctions Testing Analysts for a ... considered. Analysts will report to Compliance Managers from Sanctions and Quality ... financing, sanctions, industry AML, and..

 
Company
**********
Location
Hartford, CT
Posted Date
Feb 20, 2022
Info Source
Employer  - Full-Time  90  

... Job Title: Business Insurance Product Compliance Consultant Company: Travelers Insurance Category: ... by @TRV_Careers Business Insurance Product Compliance Consultant Hartford, Connecticut Company Summary ... position is responsible for executing..

 
Company
Humana Inc.
Location
Bridgeport, CT
Posted Date
Oct 24, 2022
Info Source
Employer  - Full-Time  90  

Description The Director, IT Compliance audits the most complex new ... information systems procedures are in compliance with corporate standards. The Director, ... corporate standards. The Director, IT Compliance requires..

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