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Compliance Officers in Connecticut

Compliance Officers in Greenwich, CT

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21 results found

Ashley-marie Medina Greenwich, CT

Professions & Specialties

Legal Administrative Assistant • Compliance Officer • Chief Administrative Officer • Director of Quality Control • Vice President • Chief Executive • Compliance Manager • Assistant Counsel • Legal Counsel • Bank Examiner • Financial Compliance Examiner • Auditor • Acrobat • Customer Service • Client Service Officer • Data Entry Specialist • Data Scientist • Orthodontist • Orthodontic Specialist • Secretary • Operations Manager • Recruitment

Experience & Education

Position:
Legal Administrative Assistant at CitationAir
Title:
Contract Administration at CitationAir
Location:
Greenwich, Connecticut
Industry:
Aviation & Aerospace
Work history:
CitationAir - Greenwich, CTLegal Administrative Assistantsince Feb 2005Arthur Kaplan, DDS Orthodontics AssistantApr 2000 - Feb 2005
Skills:
Word, PowerPoint, Excel, Customer Service, Outlook, Oracle Applications, Adobe Acrobat, HotDocs,...
Languages:
English, Spanish
Full Profile

Patricia Roer Greenwich, CT

Professions & Specialties

Compliance Officer • Supporting Member • Team Member • Bank Examiner • Financial Compliance Examiner • Auditor • Director of Quality Control • Compliance Manager

Experience & Education

Work

Company:
Ge capital markets
Compliance officer, capital markets
Company:
Wiggin & dana llp - Stamford, CT
Associate, white collar defense and corporate compliance
Full Profile

Jim Plohg Greenwich, CT

Professions & Specialties

Team Member • Partner • Chief Operating Officer • Director of Quality Control • Chief Executive • General and Operations Manager • Director of Operations • Operations Manager • Compliance Manager • General Counsel • Of Counsel • Jurist • Legal Counsel • Financial Compliance Examiner • Auditor • Accounting Bookkeeper • Bookkeeper

Experience & Education

Position:
Founding Partner, COO and General Counsel at MeehanCombs, LP
Location:
Greenwich, Connecticut
Industry:
Investment Management
Work history:
MeehanCombs, LP - Greenwich, CT and Dallas, TXFounding Partner, COO and General Counselsince Jan 2012Alden Global Capital General Counsel & Chief Compliance OfficerSep 2007 - May 2012
Full Profile

Caroline Delate Purchase, NY

Professions & Specialties

Contractor • Compliance Agent • Compliance Officer • Paralegal • Litigation Support Specialist • Independent Business Owners • Law Specialist • Lawyers • Finance and Accounting Specialist • Accounting Bookkeeper • Bookkeeper • Manager • Operations Manager • Human Resources Specialist • Recruitment • Information Technology Specialist • IT Specialist • Master of Science

Experience & Education

Title:
Senior Paralegal
Location:
Purchase, New York
Industry:
Legal Services
Work history:
TUDOR INVESTMENT CORPORATION - Greenwich, CTParalegal ( contractor)Jan 2012 - Feb 2012IBM - Armonk,NYCorporate Paralegal (contractor)Jun 2011 - Oct 2011
Full Profile

Kathleen Keating Norwalk, CT

Professions & Specialties

Director of Quality Control • Compliance Manager • Finance and Accounting Specialist • Accounting Bookkeeper • Bookkeeper • Chief Executive • Financial Compliance Examiner • Auditor • Fiduciary • Trust Law Attorney • Lawyers

Experience & Education

Position:
Chief Compliance Officer at Altrinsic Global Advisors
Location:
Norwalk, Connecticut
Industry:
Financial Services
Work history:
Altrinsic Global Advisors - Greenwich, CTChief Compliance Officersince Jan 2012Peter B. Cannell & Co., Inc. Chief Compliance OfficerFeb 2006 - Jan 2012
Full Profile

Matt Stymacks Norwalk, CT

Professions & Specialties

Compliance Coordinator • Apprentice • Volunteer • Compliance Officer • Non-Profit • Senior Online Leader • Telemarketer • Internet Marketing Manager • Web Marketer • Finance and Accounting Specialist • Accounting Bookkeeper • Bookkeeper • Marketing Manager • Student Worker

Experience & Education

Position:
Residential Sales at Connecticut Natural Gas Corp
Location:
Norwalk, Connecticut
Industry:
Utilities
Work history:
Connecticut Natural Gas Corp - Greenwich, CTResidential Salessince Mar 2013Southern Connecticut Gas Company - Orange, CTNear Main Extension SpecialistAug 2012 - Mar 2013
Skills:
Internet Research, Excel, PowerPoint, Social Media, Word, Research, Writing, Public Speaking,...
Full Profile

Maureen Ducret New York, NY

Professions & Specialties

Compliance Officer • Counselor • Philanthrope • Advisor • Non-Profit • Human Resources Specialist • Recruitment • Partner • Director of Quality Control • Chief Executive • Compliance Manager • Bank Examiner • Financial Compliance Examiner • Auditor • Supplier • Services Professional • Sales and Service Specialist • Sales Agent • Sales Representative • Human Resource Manager • Employee Relations Specialist • Labor Relations Specialist • Operations Manager • Compensations and Benefits • Information Technology Specialist • IT Specialist • Biologist • Biological Scientist

Experience & Education

Position:
HR Business Partner/Regional Compliance Officer for the Americas at Grohe America
Location:
Greater New York City Area
Industry:
Human Resources
Work history:
Grohe America - New York CityHR Business Partner/Regional Compliance Officer for the Americassince Apr 2012Various companies - Lower Fairfield County and Westchester CountyHR/Accounting ConsultantOct 2011 - Mar 2012
Full Profile

Dana Pabst New York, NY

Professions & Specialties

Administrative Associate • Office Assistant • Compliance Officer • Investor • Administrative Clerk • Clerical Specialist • Office Clerk • Finance and Accounting Specialist • Bank Examiner • Accounting Bookkeeper • Bookkeeper • Financial Compliance Examiner • Auditor • Director of Quality Control • Financial Director • Compliance Manager • Financial Officer • Financial Manager • Graphic Design Specialist • Graphic Designer • Equipment Tools Purchasing Agent • Department Store Salesperson • Retail Professional • Retail Salesperson

Experience & Education

Position:
Executive Assistant at Solon Mack Capital LLC, Executive Assistant at Solon Mack Capital
Title:
Administrative Assistant at Solon Mack Capital LLC
Location:
Greater New York City Area
Industry:
Financial Services
Work history:
Solon Mack Capital LLC - Greenwich, CTExecutive Assistantsince Jun 2005Solon Mack Capital Executive Assistantsince Jun 2005
Skills:
Editing, Marketing, Microsoft Excel, Microsoft Office, Outlook, Research, Administrative...
Full Profile

Lisa Iantorno Westport, CT

Professions & Specialties

Compliance Officer • Advisor • Bank Examiner • Finance and Accounting Specialist • Financial Compliance Examiner • Auditor • Accounting Bookkeeper • Bookkeeper • Director of Quality Control • Compliance Manager • General Counsel • Of Counsel • Jurist • Legal Counsel • Certified Auditor • Capital Markets Professional • Financial Services Professional • Financial Services Sales Agent

Experience & Education

Position:
Compliance Officer at Energy Income Partners, LLC
Title:
at Energy Income Partners LLC
Location:
Westport, Connecticut
Industry:
Financial Services
Work history:
Energy Income Partners, LLC - Westport, ConnecticutCompliance Officersince Mar 2013Basso Capital Management - Stamford, CTSenior Compliance OfficerOct 2010 - Mar 2013
Full Profile

Stacy Brice New York, NY

Professions & Specialties

Compliance Officer • Bank Examiner • Financial Compliance Examiner • Auditor • Director of Quality Control • Compliance Manager • Assistant Counsel • Legal Counsel

Experience & Education

Position:
Compliance Officer at Glade Brook Capital Partners LLC
Location:
Greater New York City Area
Industry:
Investment Management
Work history:
Glade Brook Capital Partners LLC - Greenwich, CTCompliance Officersince Mar 2012Graham Capital Management Assistant Counsel2007 - Mar 2012
Full Profile

David Held New York, NY

Professions & Specialties

Compliance Officer • Advisor • Bank Examiner • Financial Compliance Examiner • Auditor • Director of Quality Control • Compliance Manager • Finance and Accounting Specialist • Accounting Bookkeeper • Bookkeeper • Sales Representative

Experience & Education

Position:
Compliance Officer at American Securities
Location:
Greater New York City Area
Industry:
Investment Management
Work history:
American Securities - New York, New YorkCompliance Officersince Sep 2012AXA Investment Managers - Greenwich, CTChief Compliance OfficerJul 2009 - Sep 2012
Skills:
Mutual Funds, Fixed Income, Hedge Funds, Securities, Private Equity, Asset Management, Securities...
Full Profile

James Crimaldi New York, NY

Professions & Specialties

Analyst • Compliance Agent • Analysts • Compliance Officer • Finance and Accounting Specialist • Accounting Bookkeeper • Bookkeeper

Experience & Education

Position:
Analyst at TUDOR INVESTMENT CORPORATION
Location:
Greater New York City Area
Industry:
Financial Services
Work history:
TUDOR INVESTMENT CORPORATION - Greenwich,CTAnalystsince Jan 2013Bank of America - New York, New YorkAssistant Vice-PresidentJun 2012 - Jan 2013
Certifications:
Series 7, FINRA
Series 63, FINRA
Full Profile

Sean Hidey San Diego, CA

Professions & Specialties

Compliance Officer • Bank Examiner • Finance and Accounting Specialist • Chief Accountant • Financial Compliance Examiner • Auditor • Accounting Bookkeeper • Bookkeeper • Account Manager • Director of Quality Control • Chief Operating Officer • Partner • Compliance Manager • General and Operations Manager • Director of Operations • Operations Manager • Chief Executive

Experience & Education

Position:
COO, CCO & Partner at Makaira Partners LLC
Title:
Chief Operating and Compliance Officer
Location:
Greater San Diego Area
Industry:
Financial Services
Work history:
Makaira Partners LLC - Greater San Diego AreaCOO, CCO & Partnersince Jan 2007Pinewood Capital Partners - Greenwich, CTCAOFeb 2004 - Nov 2006
Full Profile

Jennifer Scantling New York, NY

Professions & Specialties

Compliance Officer • Assistant Counsel • Legal Counsel • Bank Examiner • Financial Compliance Examiner • Auditor • Director of Quality Control • Compliance Manager

Experience & Education

Position:
Assistant Counsel & Compliance Officer at CitationAir
Location:
Greater New York City Area
Industry:
Aviation & Aerospace
Work history:
CitationAir - Greenwich, CTAssistant Counsel & Compliance Officersince Feb 2010
Full Profile

Kimberly Hill New York, NY

Professions & Specialties

Compliance Agent • Counselor • Compliance Officer • Advisor • Lobbyist • Public Relations Professinal • Paralegal • Litigation Support Specialist • General Counsel • Of Counsel • Jurist • Legal Counsel • Consumer Goods Professional • Commodities Clerk • Finance and Accounting Specialist • Accounting Bookkeeper • Bookkeeper • Property Manager • Real Estate Manager • Trader • Capital Markets Professional • Financial Services Professional • Financial Services Sales Agent

Experience & Education

Position:
Compliance Specialist - Paralegal at Sikorsky Aircraft
Location:
Greater New York City Area
Industry:
Legal Services
Work history:
Sikorsky Aircraft - Stratford, CTCompliance Specialist - Paralegalsince Jun 2013Various companies - Westchester County, NYC and Connecticut.Corporate Paralegal ConsultantMar 2013 - May 2013
Skills:
Corporate Governance, Securities, Insurance, Due Diligence, Mergers, Compliance, Research, Customer ...
Full Profile

Jerry Weil New York, NY

Professions & Specialties

Volunteer • Non-Profit • Compliance Officer • Managers • Chief Executive Officer • Founder • Director • Partner • Corporate Executive • Chief Executive • Founding Member • Operations Manager • Athletes • Tennis Coach • Sports Game Coach • Deputy Manager • Human Resources Specialist • Government Administration Officer • Civil Servant • Legislator

Experience & Education

Position:
Managing Director at JW Program Development
Location:
Greater New York City Area
Industry:
Program Development
Work history:
JW Program Development - Greenwich, CTManaging Directorsince 2007Jerry Weil Tennis Camps & Programs - MassachusettsFounder / DirectorMar 1997 - 2007
Languages:
French
Full Profile

Grace Brescia New York, NY

Professions & Specialties

Counselor • Managers • Chairperson • Chief Executive • Finance and Accounting Specialist • Accounting Bookkeeper • Bookkeeper • Agent • Sales Agent • Sales Representative • Director of Quality Control • Compliance Manager • Financial Compliance Examiner • Auditor • Bachelor of Business Administration • Capital Markets Professional • Financial Services Professional • Financial Services Sales Agent

Experience & Education

Position:
President at GMB Compliance Solutions LLC
Title:
Regulatory Compliance Advisory Services
Location:
Greater New York City Area
Industry:
Financial Services
Work history:
GMB Compliance Solutions LLC Presidentsince Aug 2012BCP Securities, LLC - Greenwich, CTCCOJul 2011 - Jul 2012
Languages:
Polish
Compliance Officer of a RIA that manages privately..
Full Profile

Lucy Brown New York, NY

Professions & Specialties

Compliance Officer • Office Clerk • Clerical Specialist • Finance and Accounting Specialist • Accounting Bookkeeper • Bookkeeper • Manager • Operations Manager • Sales Manager • Sales Director • Licensed Real Estate Broker • Property Manager • Real Estate Manager • Supplier • Buyer and Seller • Sales Representative • Services Professional • Sales and Service Specialist • Sales Agent

Experience & Education

Title:
Financial Services
Location:
Greater New York City Area
Industry:
Financial Services
Work history:
Southfield Capital Advisors - Greenwich, CTAssistantMay 2011 - Apr 2012GE Capital Risk Data Manager, HQNov 2006 - May 2010
Full Profile

Nandita Hogan New York, NY

Professions & Specialties

Team Member • Director of Quality Control • Compliance Manager • Finance and Accounting Specialist • Accounting Bookkeeper • Bookkeeper • Operations Manager • Chief Executive • Bank Examiner • Financial Compliance Examiner • Auditor • Bachelor of Arts • Law Specialist • Lawyers

Experience & Education

Position:
Chief Compliance Officer at Serengeti Asset Management, Chief Compliance Officer at Breeden Capital ...
Title:
Chief Compliance Officer at Serengeti Asset Management
Location:
Greater New York City Area
Industry:
Financial Services
Work history:
Serengeti Asset Management - New York, New YorkChief Compliance Officersince Jan 2013Breeden Capital Management Chief Compliance Officersince Feb 2009
Full Profile

Neil Bhatia San Francisco, CA

Professions & Specialties

Compliance Officer • Supporting Member • Team Member • General Counsel • Of Counsel • Jurist • Legal Counsel • Law Specialist • Lawyers • Bank Examiner • Finance and Accounting Specialist • Financial Compliance Examiner • Auditor • Accounting Bookkeeper • Bookkeeper • Director of Quality Control • Operations Manager • Compliance Manager • Juris Doctor • Bachelor of Science

Experience & Education

Position:
General Counsel at Marcato Capital Management LLC
Title:
General Counsel at Marcato
Location:
San Francisco, California
Industry:
Investment Management
Work history:
Marcato Capital Management LLC - San Francisco, CAGeneral Counselsince May 2013Shumway Capital Investments - Greenwich, CTGeneral CounselJan 2012 - Apr 2013
Full Profile

Deborah Box New York, NY

Professions & Specialties

Director • Director of Quality Control • Operations Manager • Compliance Manager • Finance and Accounting Specialist • Accounting Bookkeeper • Bookkeeper • Director of Operations • Financial Compliance Examiner • Auditor

Experience & Education

Position:
Director of Compliance at Discovery Capital Management, LLC
Title:
Director of Compliance
Location:
Greater New York City Area
Industry:
Financial Services
Work history:
Discovery Capital Management, LLC - South Norwalk, CTDirector of Compliancesince Mar 2013Lanexa Management, LLC Chief Compliance OfficerOct 2011 - Dec 2012
Full Profile

Compliance Officers near Greenwich, CT01938577695StamfordNorwalkWhite PlainsYonkersWiltonPurchaseNew RochelleValhallaRidgefieldMamaroneck


Compliance Officers around Greenwich, CT

Ardsley  (2)
Armonk  (6)
Bayville  (1)
Bedford  (2)
Elmsford  (2)
Glen Cove  (5)
Harrison  (2)
Hartsdale  (2)
Hawthorne  (2)
Katonah  (3)
Larchmont  (2)
Mamaroneck  (7)
Mill Neck  (1)
Mount Kisco  (3)
New Canaan  (7)
New Rochelle  (11)
Norwalk  (33)
Purchase  (12)
Ridgefield  (7)
Rye  (1)
Scarsdale  (5)
Stamford  (92)
Thornwood  (1)
Valhalla  (9)
White Plains  (31)
Wilton  (13)
Yonkers  (31)

Compliance Officers in Connecticut