Latest Securities Compliance jobs in Stamford, CT

127 Securities Compliance Jobs in Stamford, CT

Compliance Officer/Regulatory Counsel- $12 Billion Stamford Alternative Asset Manager- Investment/Mutual Fund Compliance Atlantic Group - Stamford, CT, United States Marketing Qualifications: *10-15 years of Strong Regulatory Compliance Experience; Strong knowledge of the 1940 Act and other Federal Securities Laws *Must have Alternative Asset Manager Experience 13 days ago
In House Counsel Jobs New York | JDHuntr 53059 Director & Senior Counsel Broker, Dealer Regulation (apply by 6.1.2023), Stamford, CT In House Jobs | JDHuntr - Stamford, CT and interpretation of Broker-Dealer regulations and Securities Laws, supporting the business, compliance, and other functions. *Participate or lead, as appropriate, on internal working group to support ongoing More than 30 days ago
VP of IT- MUST COME FROM HEALTHCARE and DATA MANAGEMENT- LOCAL ONLY Stone Search, LLC - New York, NY, United States the management of company’s facilities and leasing partners. Enables the preparation, maintenance, and implementation of application, data, data security, infrastructure and integration policies and procedures 2 days ago
Compliance Coordinator The Lawt - New York, NY, United States and will appreciate the dynamic experience and competitive benefits offered. THE POSITION Manage and monitor employee personal securities trading, political contribution requests, gifts and entertainment requests 2 days ago
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Manager, Enterprise Services Issues & Events (ES Risk) Capital One - Ronkonkoma, United States , Risk, and Compliance software tools Cybersecurity and technology risk or project management certifications such as Certified Information Systems Security Professional (CISSP), Certified Information Yesterday
Sr. Manager or Director, SEC & Technical Reporting Building Products Company - Greenwich, CT, United States and filing of the company's periodic reports with the Securities and Exchange Commission (SEC), including Forms 10-K, 10-Q, and 8-K, ensuring compliance with SEC regulations and disclosure requirements. Guide 13 days ago
Assistant Director (Forensic Testing) Consult With NN Limited - , NY, United States for the following: Experience: -8-10 years of experience in financial industry with strong expertise in internal audit/compliance such as those focusing on risk assessments -Understanding of financial markets 5 days ago
Principal Associate, Cyber Remediation Manager Capital One - Ronkonkoma, United States with internal development teams to help influence and drive security compliance Collaborate with a team of Information Security professionals to provide subject matter expertise to business project teams About Yesterday
Principal Associate, Business Risk Capital One - Salisbury, United States experience. As a Cyber Risk Principal Associate within the Governance and Risk division, you see security as an innovation enabler and differentiator, not a step in the compliance process. You thrive working Yesterday
GRC - Senior IT Compliance, Risk and Governance Manager - to 185k Phaxis - New York, NY, United States . Lead the implementation and maintenance of IT governance frameworks, risk, policies, and procedures. Design and enforce IT controls to mitigate risks and ensure data security and regulatory compliance 13 days ago

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