Compliance Registration Jobs in Connecticut

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

... for a motivated and talented compliance officer who is familiar with ... regulations is preferred. Responsibilities: The Compliance Officer – Advisor Regulation will ... be responsible for: Overseeing all..

... for a motivated and talented compliance officer who is familiar with ... back office functions. Responsibilities: The Compliance Officer – Special Products and ... stock lending and margin. Providing..

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

... for a motivated and talented compliance analyst who is familiar with ... experience in regulatory exam management, compliance testing, and policy management. Responsibilities ... policy management. Responsibilities The Sr...

... for a motivated and talented compliance officer who is familiar with ... and back-office functions. Responsibilities: The Compliance Analyst – Special Products and ... various responsibilities, including: Providing advisory..

... 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..

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 ..

Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (Nasdaq: IBKR), is a direct access electronic broker serving professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our ..

... 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..

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