Latest Compliance Monitoring jobs in Greenwich, CT

133 Compliance Monitoring Jobs in Greenwich, CT

Compliance Professional ABS Global Investments - Greenwich, CT, United States into compliance program. Proactively monitoring activities to ensure compliance with all applicable regulatory filings. Conduct forensic testing. Review marketing material. Coordinate with and supervise relevant 23 days ago
Compliance Associate JCW - Stamford, CT, United States Responsibilities Reviewing and implementing new Compliance policies and procedures for the firm. Assist with Trade Compliance monitoring. Monitor regulatory changes for the firms main regulators including the SEC 8 days ago
UM Compliance Manager Jobot - Greenwich, CT The Compliance Manager is responsible for coordinating and performing all pre-delegation and annual due diligence audits and monitoring of delegated activities to ensure compliance with National Committee $100,000/Year 22 days ago
Vice President Compliance Monitoring Coda Search│Staffing - New York, NY, United States Job Description This Vice President – Compliance Monitoring and Testing The Monitoring and Testing Team sits in Core Compliance and covers the US businesses and certain global businesses, working 14 days ago
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US Head Of Compliance Madison-Davis, LLC - White Plains, NY, United States ). Responsibilities: • Responsible for administering, maintaining, coordinating and monitoring the Bank’s day-to-day compliance with BSA/AML/OFAC/CDD/EDD/KYC/FinCEN/USA Patriot Act, etc. • Responsible for managing 6 days ago
Compliance Director (USA) Trexquant Investment - Stamford, Connecticut and conduct new and existing staff compliance training and disclosure. Use and update compliance systems (such as Complysci) for new users, certifications, trading monitoring and other tasks. Conduct Routine 11 days ago
Compliance Analyst Cloudbreak Compliance Group, LLC - White Plains, NY, United States , reports, memoranda and other client deliverables Supporting and participating in client engagements including annual compliance program reviews and mock examinations Tracking and monitoring ongoing client 14 days ago
AVP, Entity Controller Wilton Re - Norwalk, CT, United States and reconciliations for monthly activity and quarterly close, and the documentation and monitoring of certain relevant internal controls for SOX compliance. Will prepare work papers and assist in the preparation 11 days ago
Compliance Officer S&P Global - New York, United States for supporting the implementation and monitoring of the Compliance Program primarily for S&P Global Ratings in North America. The role involves a range of activities, including assisting in providing a Compliance Competitive 2 days ago
Senior Compliance Officer Cardea Group - New York, NY, United States their Global Compliance team based in New York. This position will report directly to the firm’s Global CCO focusing on the general management, implementation and maintenance of the firm’s compliance monitoring 3 days ago

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