74 compliance-legal jobs found in Greenwich, CT

Interactive Brokers is looking for a motivated and talented compliance officer who is familiar with securities regulatory issues and has appropriate experience at a broker-dealer, regulatory agency, exchange or law firm. In particular, we are looking for someone with a wide range of expertise in various product types and back office functions. Responsibilities: The Compliance Officer – Special Products and Back Office will be responsible for: Providing compliance coverage for specific products and services including bonds, mutual funds, cryptocurrency, margin lending, stock lending, and clearing Managing regulatory inquiries related to the compliance coverage area Meeting with and responding to examiners from the SEC, FINRA, and other regulatory bodies Crafting detailed business requirements for programmers and technology staff to enhance internal controls in response to new regulations or the launching of new business lines Coordinating with business departments to...

Job Description Interactive Brokers is looking for a motivated and talented compliance analyst who is familiar with U.S. securities and/or commodities regulations and has appropriate experience at a regulatory agency, exchange or law firm. In particular, we are looking for someone with experience in regulatory exam management, compliance testing, and policy management. Responsibilities The Sr. Compliance Analyst – Core Compliance will be responsible for supporting the Core Compliance team in all aspects, including: Developing and managing the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance firm procedures Reporting compliance testing findings to management and defining...

Job Description   Interactive Brokers is looking for an experienced Compliance Analyst with 5+ years of experience in a compliance role, preferably in the commodities or securities industry.  This position is responsible for handling compliance supervision over reporting to various large position regulatory reporting systems such as the CFTC, US commodity exchanges and the OCC.  Prior experience in working with the OCC LOPR system or the CFTC or US Commodity exchange Large Trader/OCR reporting systems is highly desired but is not required.  Responsibilities: This position is focused on the Consolidated Audit Trail reporting systems and compliance supervision to ensure that that the firm has complied with the rules and reporting deadlines.  This is an operational and oversight function that requires the ability to read regulations, understand technical implementations of systems and to devise control procedures to test compliance.  Experience in researching transactional...

Job Description Interactive Brokers is looking for an experienced Compliance Analyst with 5+ years of experience in a compliance role, preferably in the commodities or securities industry.  This position is responsible for handling compliance supervision over reporting to various large position regulatory reporting systems such as the CFTC, US commodity exchanges and the OCC.  Prior experience in working with the OCC LOPR system or the CFTC or US Commodity exchange Large Trader/OCR reporting systems is highly desired but is not required.  Responsibilities: This position is focused on the Consolidated Audit Trail reporting systems and compliance supervision to ensure that that the firm has complied with the rules and reporting deadlines.  This is an operational and oversight function that requires the ability to read regulations, understand technical implementations of systems and to devise control procedures to test compliance.  Experience in researching transactional...

Interactive Brokers is looking for a motivated and talented compliance officer who is familiar with securities and commodities regulatory issues and has appropriate experience at a regulatory agency, exchange or law firm. In particular, we are looking for someone with a wide range of expertise in various product types and back office functions. Responsibilities: The Compliance Officer – Forex and Commodities will be responsible for: Handling regulatory issues related to Interactive Brokers foreign exchange and commodities product and system offerings. Providing compliance coverage for foreign exchange and commodities product offerings, including advising the business on compliance and regulatory issues. Drafting and implementing firm policies, controls, and written supervisory procedures, as well as conducting periodic testing. Meeting with and responding to examiners from the CME, NFA, CFTC, SEC, FINRA, and other regulatory bodies. Assessing the firm’s existing...

Job Description & Responsibilities Interactive Brokers is looking for a motivated and experienced Compliance Analyst with 5+ years of experience in a compliance role, preferably in the commodities or securities industry. This position is responsible for handling compliance supervision over reporting to various large position regulatory reporting systems such as the CFTC, US commodity exchanges and the OCC. Prior experience in working with the OCC LOPR system or the CFTC or US Commodity exchange Large Trader/OCR reporting systems is highly desired, but is not required. General team Responsibilities: This position is focused on compliance supervision over the daily large position reporting systems. This is an oversight function that requires the ability to read regulations, understand technical implementations of systems and to devise control procedures to test compliance. Experience in researching transactional reporting issues to form evidenced- based conclusions is a...

Interactive Brokers is looking to hire a Compliance Analyst at the Chicago or Greenwich Office. This is an entry-level position with excellent growth potential for highly motivated and exceptional performers.  The analysts will report to the Financial Advisor (“FA”) Compliance Team Lead and will assist with various initiatives relating to Interactive Brokers Financial Advisor program and clients. Responsibilities Supporting implementation of the firm’s financial advisor compliance program Responsible for conducting surveillance reviews pertaining to the firm’s financial advisor clients and platform Verifying that financial advisor clients maintain current and accurate registrations  Conducting ad hoc investigations relating to financial advisor activity, including trade activity, registrations, etc. Assisting with response to regulatory inquiries pertaining to the firm’s financial advisor clients and platform Coordinating with programmers and other personnel on...

Job Description   Interactive Brokers is looking for a motivated and talented compliance officer who is familiar with securities and commodities regulatory issues and has appropriate experience at a regulatory agency, exchange, or law firm. In particular, we are looking for someone with a wide range of expertise in various product types and back-office functions. Responsibilities: The Compliance Analyst – Special Products and Back Office will be responsible for supporting the team lead in their various responsibilities, including: Providing advisory compliance coverage over IBKR's entire product and service offering (including equities, options, futures, margin, ETFs, fixed income, mutual funds, cryptocurrency, retail forex, metals, stock loan, and more). Handling regulatory matters and customer complaints related to a variety of product types and services. Meeting with and responding to examiners from the SEC, FINRA, CFTC, CME and others. Conducting testing of...

Interactive Brokers is looking to hire a temporary Compliance Analyst with a strong potential to join our Chicago or Greenwich Office. The Compliance Analyst work independently and quickly adapt to a fast-paced environment. The analysts will report to the Financial Advisor (“FA”) Compliance Team Lead and will assist with various initiatives relating to Interactive Brokers Financial Advisor program and clients. Responsibilities Supporting implementation of the firm’s financial advisor compliance program Responsible for conducting surveillance reviews pertaining to the firm’s financial advisor clients and platform Conducting ad hoc investigations relating to financial advisor activity, including trade activity, registrations, etc. Assisting with response to regulatory inquiries pertaining to the firm’s financial advisor clients and platform Coordinating with programmers and other personnel on systems maintenance and enhancements of the firm’s financial advisor platform...

About FlexTrade FlexTrade Systems is a global leader in high performance multi-asset execution management and order management systems for equities, fixed income, foreign exchange, futures, and options. A pioneer in the field, FlexTrade is internationally recognized for introducing FlexTRADER®, the world’s first broker-neutral, execution management trading system, which allows clients to completely control and customize their execution workflows through a comprehensive ability to search/access liquidity while maintaining the confidentiality of their trading strategies. The Team The Global Information Security team’s mission is to ensure FlexTrade and Client’s security globally and to ensure solutions implemented by FlexTraders are secure and fulfill FlexTrade’s mission – Trade Your Best. About You FlexTrade Global Information Security is looking for a Compliance Analyst who loves what they do. Reporting to the GRC Manager, you’ll work with...

BE PART OF A BANK LIKE NO OTHER. When you work with the world's most innovative companies, you know you're making a difference. Our clients are the game changers, leaders and investors who fuel the global innovation economy. They're the businesses behind the next medical breakthroughs. And the visionaries whose new technologies could transform the way people live and work. They come to SVB for our expertise, deep network and nearly forty years of experience in the industries we serve, and to partner with diverse teams of passionate, enterprising SVBers, dedicated to an inclusive approach to helping them grow and succeed at every stage of their business. Join us at SVB and be part of bringing our clients' world-changing ideas to life. At SVB, we have the opportunity to grow and collectively make an impact by supporting the innovative clients and communities SVB serves. We pride ourselves in having both a diverse client roster and an equally diverse and inclusive...

BE PART OF A BANK LIKE NO OTHER. When you work with the world's most innovative companies, you know you're making a difference. Our clients are the game changers, leaders and investors who fuel the global innovation economy. They're the businesses behind the next medical breakthroughs. And the visionaries whose new technologies could transform the way people live and work. They come to SVB for our expertise, deep network and nearly forty years of experience in the industries we serve, and to partner with diverse teams of passionate, enterprising SVBers, dedicated to an inclusive approach to helping them grow and succeed at every stage of their business. Join us at SVB and be part of bringing our clients' world-changing ideas to life. At SVB, we have the opportunity to grow and collectively make an impact by supporting the innovative clients and communities SVB serves. We pride ourselves in having both a diverse client roster and an equally diverse and inclusive...

BE PART OF A BANK LIKE NO OTHER. When you work with the world's most innovative companies, you know you're making a difference. Our clients are the game changers, leaders and investors who fuel the global innovation economy. They're the businesses behind the next medical breakthroughs. And the visionaries whose new technologies could transform the way people live and work. They come to SVB for our expertise, deep network and nearly forty years of experience in the industries we serve, and to partner with diverse teams of passionate, enterprising SVBers, dedicated to an inclusive approach to helping them grow and succeed at every stage of their business. Join us at SVB and be part of bringing our clients' world-changing ideas to life. At SVB, we have the opportunity to grow and collectively make an impact by supporting the innovative clients and communities SVB serves. We pride ourselves in having both a diverse client roster and an equally diverse and inclusive...

By selecting “Apply” above, you indicate you have read and acknowledge the Dow Jones Applicant Privacy Notice and Dow Jones Cookie Policy , including data transfers as described in the Policy. Job Description: Dow Jones Risk & Compliance is a high growth business unit within Dow Jones. The Dow Jones Risk & Compliance business helps financial institutions and corporate customers meet international Anti Money Laundering (AML), Know Your Customer (KYC) and Anti-Corruption regulations, enabling them to consider their clients and partners as an opportunity for growth rather than a legal or reputation threat. The AML, KYC and Anti-Corruption segment of the information market is now one of the fastest-growing and mission critical areas in the information business. In recent years the Dow Jones Watchlist (formerly Factiva Public Figures & Associates) product has enjoyed significant growth and we are now pursuing a variety of new initiatives to build on this...

By selecting “Apply” above, you indicate you have read and acknowledge the Dow Jones Applicant Privacy Notice and Dow Jones Cookie Policy , including data transfers as described in the Policy. Job Description: Dow Jones & Company, Inc. is a global provider of news and business information, delivering content to consumers and organizations around the world across multiple formats, including print, digital, mobile and live events. Dow Jones has produced unrivaled quality content for more than 125 years and today has one of the world’s largest news gathering operations globally. It produces leading publications including the flagship Wall Street Journal, Barron’s, MarketWatch, Financial News, and its B2B products such as Factiva, Dow Jones Risk & Compliance, Dow Jones Newswire and OPIS. The Compliance Counsel role is a member of the Dow Jones Legal Department reporting to the Associate General Counsel, Compliance and can be based in London, New York or New...

The Chief Compliance Officer (the “CCO”) is responsible for implementing, maintaining, testing and enhancing Clear Street Markets’ compliance and supervisory program to ensure that it is reasonably designed to achieve compliance with federal securities laws and relevant rules and regulations.  The CCO serves as the primary contact for all regulatory interactions, including but not limited to regular examinations, regulatory inquiries and dialogue with the SEC, FINRA, Cboe and the Exchanges.  The CCO is a trusted adviser to traders, operations and technology personnel on regulatory obligations and is responsible for designing effective surveillance reports that are customized to Clear Street Markets’ trading.   The CCO is responsible for: Designing and implementing written policies and procedures, including written supervisory procedures, to cover general compliance obligations as well as to cover obligations that pertain to Clear Street’s trading strategies, which...

The Role: The Senior Analyst within Ratings Compliance & Control is responsible for planning and conducting compliance reviews and monitoring to assess S&P Global Ratings’ compliance with regulations, Codes of Conduct and compliance policies and procedures.   Responsibilities: Conduct periodic and targeted examinations, reviews and monitoring of the credit ratings process, research publications,  communications with the public, and internal communications. Carry out testing in accordance with established procedures and methodology, as well as develop and execute new and customized risk-based testing approaches and scripts to reach conclusions on compliance with regulations and policies and effectiveness of controls. Document test procedures, analysis, and conclusions in workpapers. Explain and support results of reviews internally to stakeholders, including senior business leadership and compliance management, and effectively negotiate remediations that...

By selecting “Apply” above, you indicate you have read and acknowledge the Dow Jones Applicant Privacy Notice and Dow Jones Cookie Policy , including data transfers as described in the Policy. Job Description: Location:  NY, PRI, San Fran or remote  Dow Jones Risk & Compliance is a specialist team within the wider Dow Jones organization. We currently employ over 400 staff around the world that solely focus on the development and ongoing management of content based solutions, monitoring technology and research services designed to help our global customers meet exacting customer, payments, sourcing and trade finance screening requirements.Over 4,500 clients globally – both in the financial, corporate and governmental area – are relying on our services for their anti-money laundering, counter terrorist financing and third party risk management programs globally.   As part of our investment plan, we are seeking exceptional business development...

By selecting “Apply” above, you indicate you have read and acknowledge the Dow Jones Applicant Privacy Notice and Dow Jones Cookie Policy , including data transfers as described in the Policy. Job Description: Our Professional Information Business (PIB) marketing and sales enablement team is growing rapidly and is actively seeking highly motivated and passionate people for several open roles.   The Dow Jones PIB powers businesses, governments and financial institutions with award-winning journalism, robust data sets, a rich archive of premium content and flexible information tools.      The Risk & Compliance Marketing & Sales Enablement team is looking for an energetic and creative Coordinator who will be responsible for assisting and equipping the global PIB sales team with timely, accurate, and engaging content and initiatives to drive revenue. This role will work across the entire Marketing & Sales Enablement team along with the PIB sales team to...

About us We’re a diverse group of visionary innovators who provide trading and workflow automation software, high-value analytics, and strategic consulting to corporations, central banks, financial institutions, and governments. More than 40% of the world’s largest companies use our solutions. Founded in 1999, we’ve achieved tremendous growth by bringing together some of the best and most successful financial technology companies in the world. Over 2,000 of the world’s leading corporations, including 50% of the Fortune 500 and 30% of the world’s central banks, trust ION solutions to manage their cash, in-house banking, commodity supply chain, trading and risk. Over 800 of the world’s leading banks and broker-dealers use our electronic trading platforms to operate the world’s financial market infrastructure. With 10,000 employees and offices in more than 40 cities around the globe, ION is a rapidly expanding and dynamic group.   Within ION Analytics we help clients...

What do we do? Paddle offers SaaS companies a completely different approach to their payments infrastructure. Instead of assembling and maintaining a complex stack of payments-related apps and services, we’re a Merchant of Record for our customers, taking away 100% of the pain of payments fragmentation. It’s faster, safer, cheaper, and, above all, way better.   The Role As a member of the Legal team you will report directly to our General Counsel, enjoying an  extremely varied role, delivering first-rate legal advice in a fast-paced dynamic environment, identifying risk and balancing common sense with legal expertise. The Legal team is intrinsically integrated into Paddle’s business and you will be required to collaborate and advise cross functionally, empowering the business to achieve its goals.  As Senior Legal Counsel, you will consider the longer-term impacts whilst also being able to react quickly to deliver level headed, creative and context...

Blockchain.com is the world's leading software platform for digital assets. Offering the largest production blockchain platform in the world, we share the passion to code, create, and ultimately build an open, accessible and fair financial future, one piece of software at a time. We are seeking an outstanding compliance leader to join our fast-growing team as Markets Compliance Specialist in North America (including the Carribean). This role will be responsible for managing regulatory engagement, including responses to requests for information received by Blockchain.com, Inc. and its affiliates from US and other North American financial industry regulators, primarily the CFTC and NFA, but also, from the SEC, FINRA and state regulators, regulators in other North American jurisdictions including the Carribean.  This is an exciting opportunity to help build and maintain a compliance program for our fast growing company as it enters into new business lines and engages in new...

Position Summary                                             We are looking to recruit a Senior Legal Counsel with a proven record of client service and a practical, problem-solving approach to support our businesses across the Americas, based in New York City.  The successful candidate needs to be a hands-on, commercial contracts lawyer and will provide specialist and strategic legal advice for all aspects of the Group’s Data & Analytics Division. Role Responsibilities Providing a wide range of legal advice and support to the sales, proposition and leadership teams in the Americas. Reviewing, drafting, revising and negotiating agreements with customers, vendors, partners and other third parties, including data licenses, software and intellectual property licenses, strategic partnerships, master agreements,  and other complex commercial agreements. Advising on legal issues related to the collection, usage and licensing of content/data/news from multiple...

The Role: The Compliance Officer role is based in New York and will be responsible for supporting the implementation and monitoring of the Compliance Program, primarily supporting S&P Global Ratings Structured Finance Practice in North America. The role involves a range of activities, including providing: (i) Compliance advisory services, (ii) education & training, (iii) reporting to regional senior management on compliance developments, and, (iv) participating in reviews, investigations and other compliance monitoring / ad hoc activities. You will:   Support the operation of the Compliance Program and in particular: Provide a credible reliable and responsive advisory service to the S&P Global Ratings’ Practices in North America to include the Structured Finance Practice and/or other Practices for which responsibility may be assigned. Provide advisory services to staff and management and to the Regional Senior Compliance Manager (RSCM), and, at times,...