Compliance Monitoring Jobs in Stamford, CT

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

from: linkedin.com - 7 days ago

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

from: resume-library.com (+1 source) - 10 days ago

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

from: linkedin.com - 13 days ago

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

from: linkedin.com - 10 days ago

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

from: efinancialcareers.com - Yesterday

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

from: linkedin.com - 5 days ago

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

from: linkedin.com - 22 days ago

Goldman Sachs - New York, United States

businesses a plus Assist with the monitoring, and testing of compliance programs Strong interpersonal skills and the ability to manage processes and drive change and accountability with key internal Competitive

from: efinancialcareers.com - Yesterday

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

from: linkedin.com - 13 days ago

Patel Consultants Corporation - Danbury, CT, United States

Site Management and Monitoring activities conducted by CRO partners during clinical trial conduct including adherence to ICH-GCP, and regulatory requirements, compliance with SOPs, trial protocol, trial

from: linkedin.com - 5 days ago