Ethics & Compliance Business Unit Specialist jobs in Hartford, CT

Ethics & Compliance Business Unit Specialist supports and coordinates the activities of the organization's global ethics and compliance function. Assists with the delivery and maintenance of programs to assess and manage legal and regulatory compliance risks and establish high ethical standards of conduct for the organization. Being an Ethics & Compliance Business Unit Specialist prepares materials that communicate the organization's ethical standards, policies, and regulations. Supports or delivers employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Additionally, Ethics & Compliance Business Unit Specialist generates reports of compliance monitoring statistics, investigations, outcomes, and remediations of any non-compliant actions. May administer reporting systems or helplines for employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. May require a bachelor's degree or equivalent. Typically reports to a manager or head of a unit/department. The Ethics & Compliance Business Unit Specialist occasionally directed in several aspects of the work. Gaining exposure to some of the complex tasks within the job function. To be an Ethics & Compliance Business Unit Specialist typically requires 2-4 years of related experience. (Copyright 2024 Salary.com)

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Compliance Specialist
  • USI Holdings Corporation
  • Glastonbury, CT FULL_TIME
  • General Description: The Broker Dealer Compliance Specialist is responsible for gathering, organizing, analyzing, and distributing materials used by Compliance Department and line management in the execution of their duties designed to maintain the firm's compliance with federal, SRO, and state securities regulation. The position will work with compliance/operational processing and back-office systems designed to retain required records specific to the B/D and investment advisory businesses, including New Accounts, Commissions, Licensing, FINRA Registration and Brokerage Services. The Compliance Specialist position is critical to the effectiveness of the Compliance Department.

    Responsibilities:

    • Coordinate all CRD registration requests and assist the CCO in the review of prospective Registered Representatives.
    • Process FinCEN 314(a) requests promptly.
    • Conduct Registered Representative e-mail surveillance under the direction of CCO.
    • Prepare Branch Office files for cycle inspections consistent with the firm's review program module.
    • Gather and organize materials and records necessary to prepare a needs analysis and propose a Firm Element Continuing Education Program.
    • Verify and gather information for the firm's Business Continuity Program.
    • Process outside brokerage account requests and maintain records that permit the review of such.
    • Reconcile and allocate Monthly CRD charges among branch offices.
    • Assist the CCO on compliance issues and special projects.

    Knowledge, Skills and Abilities:

    • Knowledge of broker-dealer/investment advisor operations. Helpful, but not required.
    • Bachelor's Degree, or a minimum of 2 years work related experience.
    • Excellent communication, organizational, and time management skills.
    • Proficiency with Microsoft applications (i.e., Word, Excel, and PowerPoint) and internet-based media.
    • Excellent organizational skills, detail-oriented and problem-solving capabilities.
    • Ability to work independently and manage multiple high priority projects.
    • Ability to work within deadlines.
    • Ability to work in a fast-paced environment.

    USI is committed to providing a full-suite of competitive benefits for our growing population and its diverse needs. We offer a wide range of health, welfare and financial benefits including medical, wellness, dental and vision, 401(k), flexible spending and health savings accounts, short and long-term disability, life insurance and other unique employer-sponsored and voluntary programs. USI also offers a generous paid time off policy, paid family leave benefit as well as paid holiday time .

    Job Type: Full-time

    Pay: $44,000.00 - $45,000.00 per year

    Benefits:

    • 401(k) matching
    • Flexible schedule

    Schedule:

    • 8 hour shift
    • Monday to Friday

    Supplemental pay types:

    • Bonus opportunities

    Work Location: Hybrid remote in Glastonbury, CT 06033

  • 15 Days Ago

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COMPLIANCE SPECIALIST
  • Deringer Ney
  • Bloomfield, CT FULL_TIME
  • Title: Compliance Specialist Job Summary: Oversee compliance requests and requirements to ensure that statutory, regulatory, and customer specific requirements are met (i.e., Export Controls/ITAR, FAR...
  • 15 Days Ago

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Senior Compliance Specialist
  • COLTS MANUFACTURING COMPANY LLC
  • West Hartford, CT OTHER
  • Job Details Job Location: W Hartford - West Hartford, CT Position Type: Full Time Education Level: High School Salary Range: $62,000.00 - $72,000.00 Salary/year Travel Percentage: None Job Shift: Day ...
  • 10 Days Ago

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Business Unit Manager (1041-D)
  • Aero Gear
  • Windsor, CT FULL_TIME
  • Position Summary The Business Unit Manager is responsible for the general oversight of a cross-functional team and related equipment within a cell / flow line environment. Essential Functions Part tra...
  • 19 Days Ago

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Business Unit Manager (1041-E)
  • Aero Gear
  • Windsor, CT FULL_TIME
  • The Company Aero Gear is a global supplier of aerospace gears and gearbox assemblies to top OEM’s such as Pratt & Whitney, GE, AVIO, Collins, Rolls Royce and Sikorsky. The company was founded in 1982 ...
  • 21 Days Ago

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Business Unit Coordinator
  • LIMRA AND LOMA
  • Windsor, CT FULL_TIME
  • LIMRA and LOMA currently have an opportunity for a full-time hybrid Business Unit Coordinator to join our Finance team. This is a role full of diverse duties and responsibilities and is a great positi...
  • 14 Days Ago

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0 Ethics & Compliance Business Unit Specialist jobs found in Hartford, CT area

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Soil Scientist - Permitting Specialist
  • FHI Studio
  • Hartford, CT
  • Soil Scientist/Permitting Specialist FHI Studio has an excellent opportunity for a Soil Scientist/Permitting Specialist....
  • 3/28/2024 12:00:00 AM

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Warehouse Supervisor
  • Richelieu Hardware
  • Hartford, CT
  • Company Overview Richelieu is a leading North American distributor, importer, and manufacturer of specialty hardware and...
  • 3/28/2024 12:00:00 AM

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Full Stack Developer
  • Apex Informatics
  • Hartford, CT
  • We are seeking a highly motivated and skilled Full-Stack Developer to join our team and play a crucial role in developin...
  • 3/28/2024 12:00:00 AM

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School Crossing Guard
  • City of Hartford, CT
  • Hartford, CT
  • Job posting will remain open until an adequate number of applications have been received, at that point it will be re-is...
  • 3/28/2024 12:00:00 AM

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Police Officer (Lateral)
  • City of Hartford, CT
  • Hartford, CT
  • Vacancies are in the Police Department. Under supervision, performs law enforcement duties involving the protection of l...
  • 3/28/2024 12:00:00 AM

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Police Officer (Non-Hartford Residents)
  • City of Hartford, CT
  • Hartford, CT
  • Vacancies are in the Police Department. Under supervision, performs law enforcement duties involving the protection of l...
  • 3/28/2024 12:00:00 AM

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Police Officer (Hartford Residents)
  • City of Hartford, CT
  • Hartford, CT
  • Vacancies are in the Police Department. Under supervision, performs law enforcement duties involving the protection of l...
  • 3/28/2024 12:00:00 AM

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Legal Assistant
  • Freeman Mathis and Gary LLP
  • Hartford, CT
  • Freeman Mathis and Gary, LLP is a rapidly growing, national specialty litigation firm seeking an experienced legal assis...
  • 3/28/2024 12:00:00 AM

Hartford is the capital city of Connecticut. It was the seat of Hartford County until Connecticut disbanded county government in 1960. The city is nicknamed the "Insurance Capital of the World", as it hosts many insurance company headquarters and is the region's major industry. It is the core city in the Greater Hartford area of Connecticut. Census estimates since the 2010 United States Census have indicated that Hartford is the fourth-largest city in Connecticut, behind the coastal cities of Bridgeport, New Haven, and Stamford. Hartford was founded in 1635 and is among the oldest cities in th...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Ethics & Compliance Business Unit Specialist jobs
$81,184 to $106,179
Hartford, Connecticut area prices
were up 1.7% from a year ago