We have other current jobs related to this field that you can find below

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    4 weeks ago

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    2 months ago

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  • Chief Compliance Officer, Private Equity

    2 months ago

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  • Chief Compliance Officer, Private Equity

    2 months ago

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  • Compliance Examination Specialist

    19 hours ago

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  • Compliance Examination Specialist

    5 days ago

    Stamford, Connecticut, United States Madison-Davis, LLC Full time

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  • Regulatory Compliance Testing Specialist

    5 days ago

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    6 days ago

    Stamford, Connecticut, United States Sacred Heart University Full time

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    1 week ago

    Stamford, United States Renewal by Andersen Full time $22 - $25

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    6 days ago

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  • Senior Manager, Global Trade Compliance

    2 days ago

    Stamford, United States FPC National Full time

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    6 days ago

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    6 days ago

    Stamford, United States Design Within Reach Full time

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Compliance Officer

2 months ago

Stamford, United States AXA Full time

Job Purpose Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligations Key Accountabilities Support the Code of Ethics Program, including oversight of all personal securities trading, periodic attestations and certifications and related staff regulatory reporting obligations. Administer and manage a regional Code of Ethics programs, across multiple branch offices and investment platforms. Includes, Conflicts of Interest management, gifts and entertainment reporting, outside business activities and political contribution activities Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered U.S. Investment Advisor, including integration work Assist the department with ensuring the business meets all requirements of the U.S. Investment Advisors Act 1940, as well as other relevant U.S. regulations including, but not limited to the FINRA, CFTC, ERISA Support the local compliance monitoring and testing program and accompanying schedules, perform testing for select trade surveillance oversight (e.g., best execution and fair allocation), prepare summary and management findings for local oversight committees and contribute to annual assessment and other ongoing regulatory requirements Assist with the maintenance of effective compliance policies, procedures and/or manuals across all business lines Assist with internal and select client reporting and filing coordination within the organization and applicable corporate affiliates Assist the Registered Representatives and Sales team with lobbying registration and requirements as well as Broker dealer related filing requirements Assist with the completion and maintenance of SEC and other regulatory filings and disclosure materials Assist with back up as needed for administration of effect Code of Ethics, social media and compliance training / continuing education programs across all business lines Support the local oversight of associated 3rd party due diligence Liaise with the Regional Head of Compliance and the expertise lead in a range of on-going business initiatives and assist as required

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