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VP, General Counsel and Chief ComplianceOfficer Duties: Act as the principal legal advisor to executives and the company on all legal and regulatory matters. Provide thought leadership to the Investments deal team regarding the sponsor vetting and review process, including all...
Chief ComplianceOfficer Investment Management
The candidate will be a key member of the firm’sInvestment Management (SIM) law department, and will support registration, new and existing client opportunities, new investment origination and management as well as ensuring com...
Senior ComplianceOfficer The candidate will be responsible for overseeing the firm’s Control Group which implements the firm’s Policy and related procedures, including monitoring information barriers, maintaining restricted lists and handling market pre-soundings and wall c...
Jan 30,2016
USA-NY-New York City
Global Chief Compliance Officer- Broker Dealer
Global Chief Compliance Officer- Broker Dealer
The candidate will be point of contact for all exams/inquiries and audits. Will work on cover all entities and manage staff across business lines. Provide advisory assistance to sales and trading. Oversight AML/KYC. Upgrade platform (policies, testing/
Sep 14,2020
USA-CT-Hartford
Property Casualty Insurance Compliance Officer (Hartford, CT)
Salary:
Global Property Casualty Insurance Company seeking an experience senior level Compliance professional to oversee and lead US Compliance. Minimum 10-15 years applicable experience is needed. Responsibilities included Data Privacy/Protection, Insurance Regulatory, and Money Laundering oversig
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