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13 results for Compliance Director in Stamford, CT

SOX Compliance Manager/Director

Wallingford, Connecticut
onsite
Permanent / Full Time
150000 - 180000 USD / Yearly
Director of Internal Audit (SOX)Location: Greater New Haven Area & HybridReference: SF0013488150Recruiter Contact: Sal Fiorillo — Sal.Fiorillo@RobertHalf Key Responsibilities:<ul><li>Lead the planning and execution of SOX (ICFR) and substantive audits over consolidated financial statements.</li><li>Evaluate the design and operating effectiveness of internal controls; identify control gaps and recommend remediation.</li><li>Ensure all audit work aligns with US GAAP, SEC reporting requirements, and SOX regulations.</li><li>Identify and assess financial, operational, and reporting risks; develop risk-mitigation strategies.</li><li>Research, review, and document complex technical accounting issues and emerging standards.</li><li>Evaluate business processes and transactions for accuracy, reliability, and compliance with SEC filings.</li><li>Prepare and present audit reports to senior management, highlighting key risks and actionable recommendations.</li><li>Maintain oversight of audit findings to ensure timely remediation.</li><li>Build and maintain strong relationships with internal stakeholders, external auditors, and business unit leaders.</li><li>Support special projects such as accounting advisory, operational audits, investigations, acquisition integration, and process-improvement initiatives (approx. 15–20%).</li></ul>Requirements<ul><li>10+ years of experience in public accounting or a mix of public accounting and industry (manufacturing exposure strongly preferred).</li><li>CPA required.</li><li>Strong technical background in US GAAP, SEC reporting, and SOX compliance.</li><li>Experience evaluating internal controls, leading audits, and presenting to senior leadership.</li><li>Exceptional communication skills and ability to thrive in a fast-paced, global environment.</li></ul>WHY WE LIKE THIS ROLE / COMPANY<ul><li>Exceptional growth trajectory — the company consistently outperforms its industry, with a history of doubling in size every 4–6 years.</li><li>Industry leader — ranked among the most profitable and highest-valued organizations in its sector.</li><li>Strong compensation framework — competitive salary, excellent benefits (401k, HSA, multiple plans), and meaningful equity potential.</li><li>Supportive, people-first culture — leadership prioritizes work-life balance, internal development, and long-term employee success.</li><li>True career acceleration — this department is known as a talent incubator, with prior team members advancing into key leadership roles throughout the company!</li></ul>If you meet the minimum requirements and want to learn more about this opportunity, please email your resume to the email listed above.All inquiries are confidential. Please note at Robert Half we never present your background to a client company without your permission.
2026-09-22T00:00:00Z

Compliance Officer - Broker Dealer / RIA

New York, New York
onsite
Permanent / Full Time
160000 - 200000 USD / Yearly
Robert Half Financial Services is recruiting for a Compliance Officer role for an International Broker Dealer and Investment firm located in midtown Manhattan, New York. Our client requires 8+ years of Compliance experience at a Broker Dealer or an RIA, with active FINRA Series 14 or Series 24 License and knowledge of SEC/FINRA Regulatory Compliance, Reg 15a-6, Client Onboarding and Compliance Monitoring. This role is hybrid remote requiring 4 days per week in the midtown Manhattan New York office. This role will provide regulatory oversight and advisory support across multiple business lines, with a primary focus on the firm’s registered broker-dealer activities. Reporting to the Chief Compliance Officer, the successful candidate will act as a trusted advisor to senior stakeholders, ensuring the firm operates in compliance with U.S. securities regulations (SEC, FINRA) while maintaining alignment with global compliance standards. Responsibilities:Regulatory Advisory & Oversight:<ul><li>Provide day-to-day compliance advice across business lines, including broker-dealer (15a-6), specialist lending, and global affiliates</li><li>Advise on SEC and FINRA regulations, including cross-border broker-dealer requirements</li><li>Act as a trusted advisor on complex, time-sensitive regulatory matters</li></ul>Compliance Framework & Risk Management:<ul><li>Identify, assess, and prioritize compliance and regulatory risks</li><li>Maintain and enhance policies, procedures, and internal controls</li><li>Ensure adherence to market conduct, conflicts management, and information barrier frameworks</li><li>Oversee compliance issue tracking, escalation, and remediation</li></ul>AML, KYC & Onboarding:<ul><li>Oversee client onboarding processes, including AML/KYC due diligence</li><li>Support and enhance the firm’s AML program</li></ul>Governance, Reporting & Audits:<ul><li>Manage record-keeping obligations and regulatory reporting requirements</li><li>Deliver management reporting on compliance risks and emerging regulatory themes</li><li>Support internal and external audits, ensuring readiness and remediation of findings</li><li>Liaise with regulators and support regulatory examinations and inquiries</li></ul>Business Enablement:<ul><li>Support new business initiatives, transactions, and product approvals</li><li>Provide compliance input on strategic projects and business change initiatives</li></ul>Monitoring & Employee Oversight:<ul><li>Oversee personal account dealing and employee compliance activities</li><li>Support licensing and registration processes</li></ul>Stakeholder & Global Collaboration:<ul><li>Collaborate with Legal, Control Room, Surveillance, IT, Operations, and third-party vendors</li><li>Work closely with global Compliance teams to ensure consistency</li></ul>
2026-09-14T00:00:00Z

Paralegal and Compliance Analyst

New York, New York
onsite
Permanent / Full Time
125000 - 135000 USD / Yearly
We are looking for a detail-oriented Paralegal and Compliance Analyst to support legal operations and compliance activities in New York, New York. This role will partner closely with attorneys, compliance leadership, and cross-functional teams to coordinate contract processes, maintain corporate records, and strengthen day-to-day legal workflows. The ideal candidate brings strong organizational skills, sound judgment, and the ability to manage multiple priorities in a fast-moving investment environment. Responsibilities: • Oversee the full administrative cycle of contracts, from initial intake and review coordination through execution, filing, amendments, renewals, and expiration tracking. • Organize and maintain legal and corporate documentation so records remain accurate, accessible, and aligned with applicable deadlines and reporting needs. • Support entity maintenance activities, including corporate filings, recordkeeping, and compliance calendar management across the firm and related business operations. • Work with internal attorneys, outside counsel, and business stakeholders to facilitate contract review, negotiation support, and resolution of legal process questions. • Administer vendor agreement workflows, including intake, usage and spend monitoring, renewal tracking, and coordination of contract discussions with software providers. • Assist the Chief Compliance Officer with maintaining compliance policies, internal procedures, and governance documents such as the Compliance Manual and Code of Ethics. • Help manage employee compliance administration by supporting books and records, reviewing disclosures, and tracking potential conflicts of interest and personal investment activity. • Collaborate with Legal, Finance, and Operations teams on related risk and compliance initiatives, including vendor diligence, cybersecurity controls, and business continuity planning. • Identify opportunities to improve legal and compliance processes by applying strong operational judgment and recommending more efficient ways of working.
2026-09-03T00:00:00Z

Director of Finance

New Haven County, Connecticut
onsite
Permanent / Full Time
185000 - 225000 USD / Yearly
Director of FinanceNew Haven County - Hybrid Reference: SF0013499933Recruiter Contact: Sal Fiorillo — Sal.Fiorillo@RobertHalf A well-established organization within the financial services space is seeking a Director of Finance to join its leadership team. Reporting directly to the CFO, this individual will provide leadership and oversight across the Finance function while supporting the organization’s financial, operational, and strategic objectives. The Director of Finance will oversee a broad range of responsibilities spanning financial reporting and accounting, FP&A, budgeting and forecasting, treasury, financial operations, and enterprise finance initiatives. This is an excellent opportunity for an experienced finance leader who combines strong technical and analytical capabilities with a proven ability to develop teams, improve processes, drive accountability, and elevate a Finance function within a regulated environment. Key Responsibilities<ul><li>Provide leadership and oversight across Accounting, Financial Reporting, FP&A, Treasury, and Financial Operations</li><li>Lead financial planning, budgeting, forecasting, and performance analysis</li><li>Oversee the preparation and integrity of financial and management reporting</li><li>Partner with the CFO and executive leadership on strategic initiatives and financial decision-making</li><li>Develop, mentor, and lead finance managers and emerging leaders</li><li>Strengthen financial processes, controls, reporting, and operational efficiency</li><li>Support treasury, cash management, liquidity planning, and banking relationships</li><li>Partner across the organization to improve financial visibility and accountability</li><li>Support regulatory, audit, compliance, and other insurance-related financial requirements</li><li>Identify opportunities to enhance systems, automation, reporting, data analytics, and overall Finance capabilities</li></ul>Qualifications<ul><li>Bachelor’s degree in Accounting, Finance, Business, or a related field required</li><li>CPA preferred; active license is not required</li><li>MBA or other advanced degree is a plus</li><li>Progressive experience encompassing financial reporting/accounting, FP&A, budgeting/forecasting, and financial operations</li><li>Insurance industry experience strongly preferred, particularly within Property & Casualty insurance; broader insurance or financial services experience may be considered</li></ul>If you meet the minimum requirements and want to learn more about this opportunity, please email your resume to the email listed above.All inquiries are confidential. Please note at Robert Half we never present your background to a client company without your permission.
2026-09-02T00:00:00Z

Director of Finance

New Haven, Connecticut
onsite
Permanent / Full Time
140000 - 160000 USD / Yearly
Finance Director, New Haven AreaContact: Brittany Rizzo / Brittany.Rizzo@roberthalf comReference ID: BR0013384966 Position OverviewOur client is a local non-profit in the greater New Haven area and is seeking an experienced, strategic, and ethical finance professional to serve as its next Finance Director. This executive-level position is responsible for the overall leadership, management, and oversight of the financial operations, ensuring fiscal integrity, transparency, and long-term financial sustainability.The Finance Director serves as a key member of the leadership team and works closely with the Manager, elected officials, department heads, auditors, and the community. Key Responsibilities<ul><li>Direct and oversee all financial operations, including budgeting, accounting, payroll, accounts payable/receivable, treasury management, purchasing, and financial reporting.</li><li>Develop and manage the Town’s annual operating and capital budgets.</li><li>Provide long-range financial forecasting and strategic financial planning.</li><li>Prepare monthly, quarterly, and annual financial reports for the Town Manager and Town Council.</li><li>Ensure compliance with all federal, state, and local laws, regulations, and reporting requirements.</li><li>Coordinate and oversee annual independent audits and implement recommendations.</li><li>Manage cash flow, investments, debt issuance, and bond compliance.</li><li>Establish and maintain strong internal controls and financial policies.</li><li>Supervise and mentor finance department staff.</li><li>Present financial information clearly to elected officials and the public.</li><li>Support grant administration and financial reporting for externally funded programs.</li></ul>
2026-09-18T00:00:00Z

Tax Director

New York, New York
onsite
Permanent / Full Time
180000 - 200000 USD / Yearly
Join a globally recognized media organization with a worldwide presence and a reputation for innovation. This organization combines mission-driven work with a dynamic, collaborative environment where talented professionals make a meaningful impact. Our client is seeking an experienced Tax Director to lead the organization's international tax strategy, planning, and compliance efforts. This is a high-impact leadership role responsible for managing complex cross-border tax matters, partnering with stakeholders across the business, and ensuring compliance with U.S. and international tax regulations. · Lead international tax planning initiatives, including technical research, tax modeling, legal entity structuring, and strategic tax advisory.· Oversee U.S. international tax reporting and compliance, including Forms 1118, 5471, 8858, 8993, 1042, foreign tax credits, and country-by-country reporting.· Manage global tax risks by partnering with internal stakeholders and external advisors on permanent establishment, transfer pricing, foreign compliance, and tax audits.· Direct global indirect tax compliance efforts, including VAT, GST, digital services taxes, and foreign tax registrations.· Lead and develop a team of tax professionals while driving process improvements, operational efficiency, and cross-functional collaboration.· Provide strategic guidance on complex international tax matters while supporting the organization's commitment to integrity, independence, and excellence. For immediate consideration please email Ben.Turnbull@roberthalf.
2026-09-18T00:00:00Z

Tax Director

Parsippany, New Jersey
onsite
Permanent / Full Time
200000 - 275000 USD / Yearly
We’re partnering with a growing Investment Advisory firm to identify a Head of Tax to lead and expand a high-touch tax function serving high-net-worth clients and families. Based on the provided job spec, this role combines strategic client advisory work with technical tax leadership and team management.What You’ll Do· Provide high-touch tax planning, compliance, and advisory services to high-net-worth clients and families.· Oversee and review work prepared by an offshore tax team.· Manage tax return preparation and filing for Forms 1040, 1041, 1065, and 1120-S.· Lead client meetings and respond to complex tax questions with practical, strategic guidance.· Identify planning opportunities, efficiencies, and potential tax risks through return review and analysis.· Collaborate with internal teams and external advisors to support federal and state tax compliance.· Research complex tax matters and communicate findings clearly to clients and advisors.· Build out the tax team in addition to mentoring and developing junior tax staff as the department continues to grow.· Support special projects and department-building initiatives.What We’re Looking For· 8+ years of experience as a Tax Manager or Senior Tax Manager in public accounting or an RIA.· Active CPA or MST highly preferred.· Strong expertise in taxation for individuals, S corporations, trusts, and partnerships.· Experience managing an offshore tax team is preferred.· Prior experience with Holistiplan is a plus.· Bachelor’s degree in accounting, finance, economics, or a related field.· Excellent client communication, organization, and time management skills.· A detail-oriented approach and commitment to delivering exceptional client service.Client offers a VERY competitive compensation package in the $200-275 base salary range depending on experience, plus target bonus and great benefits. Position offers an excellent quality of life and work life balance and would be a great transition out of high stress / high hours public accounting.
2026-09-15T00:00:00Z

Director of FP&A

New York, New York
onsite
Permanent / Full Time
200000 - 250000 USD / Yearly
Join a leading global company with a broad geographic footprint, a strong reputation for operational excellence, and a clear commitment to sustainable growth and responsible business practices. Currently, the organization is seeking a Director of FP&A to serve as a key member of its finance and enterprise leadership teams. This is an opportunity to influence how the firm plans, allocates resources, measures performance, and makes strategic decisions. The Director will lead enterprise FP&A while serving as a strategic advisor to senior finance and business executives. The role will translate complex financial and operating information into clear insights that help leadership identify opportunities, manage risk, improve performance, and support sustainable growth. The Senior Vice President who oversees the position describes it simply: “The Director of FP&A is a strategic business partner, enterprise catalyst, and steward of long-term value creation.” Working closely with the CFO and Sr. VP, the Director of FP&A will continue to modernize and influence the FP&A function. This means leveraging advanced analytics, automation, and emerging AI capabilities to improve efficiency and scalability. The position offers significant visibility and the opportunity to help shape the evolution of finance across a complex global organization. The ideal candidate will bring significant enterprise-level FP&A experience, ideally within a publicly traded or similarly complex global organization. This is a high-impact leadership opportunity for a finance executive who wants to operate beyond traditional FP&A and have a meaningful voice in enterprise strategy. The successful candidate will help shape the way the organization uses financial insight, data, and technology to make decisions, drive performance, and create long-term value. The company offers a highly competitive base salary and performance-based bonus and requires 4 days per week in the Manhattan office. For immediate consideration, please send your resume to Kristin.Kelleher@roberthalf. Key Responsibilities<ul><li>Oversee forecasting, budgeting, long-term planning, and financial performance across a complex global organization.</li><li>Partner with senior leaders to provide financial insight, identify opportunities and risks, and support growth, investment, and resource allocation decisions.</li><li>Advance processes, reporting, analytics, automation, and emerging AI capabilities to improve efficiency and decision-making.</li><li>Develop clear, forward-looking analysis and presentations that help senior leadership understand performance and make informed strategic decisions.</li><li>Lead and develop FP&A talent while fostering collaboration, accountability, innovation, and a strong commitment to the organization’s principles and long-term objectives.</li></ul>
2026-09-24T00:00:00Z

Director, Fund Accounting

New York, New York
onsite
Permanent / Full Time
200000 - 250000 USD / Yearly
Our client is seeking a Director of Fund Accounting to lead month-end close oversight, shadow accounting review, control execution, and regulatory support for a multi-entity hedge fund investment platform. This role will partner with Accounting, Operations, Investor Relations, and external service providers to ensure accurate reporting, strong controls, and timely deliverables. Responsibilities: Oversee month-end close activities for funds and related entities, including review of journal entries, reconciliations, accruals, and reporting packages. Review shadow accounting and fund administrator deliverables, identify and resolve discrepancies across internal and external records, support broker-dealer close and related reporting requirements, and oversee cash activity, approvals, reconciliations, and internal control documentation. To apply, please apply here & send your résumé to alex.muzaurieta@roberthalf.
2026-09-09T00:00:00Z

VP/Director of Finance

Poughkeepsie, New York
onsite
Permanent / Full Time
80000 - 85000 USD / Yearly
We are looking for an accomplished finance leader to help guide the financial strategy and day-to-day fiscal operations of our nonprofit organization in Staatsburg, New York. This role partners closely with senior leadership to strengthen reporting, budgeting, compliance, and internal controls while supporting sound stewardship of organizational resources. The ideal candidate brings deep accounting expertise, strong analytical judgment, and the ability to translate financial information into actionable insights for leadership and stakeholders. Responsibilities: • Lead the preparation and review of monthly, quarterly, and annual financial reports to ensure accuracy and timely delivery. • Direct budgeting and forecasting activities, including analysis of variances and recommendations to support financial decision-making. • Manage general ledger integrity, reconciliations, and all critical close activities at month-end and year-end. • Track cash position, operating results, and financial trends to help leadership monitor performance and plan effectively. • Coordinate annual audit readiness efforts and serve as a key contact for external auditors throughout the engagement. • Ensure adherence to nonprofit accounting standards, grant-related financial requirements, and applicable regulatory reporting obligations. • Oversee core accounting operations such as accounts payable, accounts receivable, payroll, and fixed asset administration. • Produce financial analyses and presentations for executives, board members, and external funding partners. • Establish, refine, and monitor financial policies and internal control procedures to safeguard organizational assets. • Provide guidance and oversight to accounting team members while partnering with program leaders on restricted funding and grant tracking.
2026-09-15T00:00:00Z

VP/Director of Finance

Long Island City, New York
onsite
Permanent / Full Time
160000 - 180000 USD / Yearly
We are looking for an accomplished finance leader to guide the accounting and financial strategy for the Americas business, with operations spanning the United States and Canada. This role combines hands-on oversight of core finance activities with strategic partnership across the organization to improve performance, strengthen decision-making, and support sustainable growth. Based in Long Island City, New York, this position is best suited for a commercially minded individual who can translate financial data into practical business actions while maintaining strong operational discipline. Responsibilities: • Lead the full finance and accounting function across the regional business, including planning cycles, reporting, cash management, billing, receivables, payables, purchasing, and treasury activities. • Partner with senior leadership to interpret financial performance, uncover trends, and turn analysis into actionable plans that improve profitability and long-term results. • Establish and refine performance metrics that connect market conditions and operating drivers to business outcomes, enabling management to track progress and make informed adjustments. • Oversee expense management and capital spending by evaluating cost drivers, reviewing investment priorities, and providing financial perspective on expected returns. • Manage cash flow forecasting, liquidity planning, and working capital performance while coordinating with broader finance stakeholders on funding needs and cash conversion objectives. • Provide financial guidance on significant commercial arrangements, including customer contracts, partnerships, leasing structures, and equipment-related investments. • Maintain a strong control environment by ensuring accounting practices, financial reporting, and compliance activities align with corporate standards and applicable regulations. • Coordinate annual audits and support related financial reviews, including statutory reporting, insurance matters, and internal audit activities. • Direct the preparation and review of tax and regulatory filings, including sales tax and other required submissions across relevant jurisdictions. • Assess the efficiency of financial systems and business processes, and work cross-functionally to implement improvements that enhance accuracy, control, and scalability.
2026-09-21T00:00:00Z

VP/Director of Finance

Springfield, New Jersey
onsite
Permanent / Full Time
240000 - 250000 USD / Yearly
Benefits:<ul><li>Medical</li><li>Dental</li><li>Vision</li><li>Paid time off</li><li>hybrid</li></ul> Our client is a rapidly expanding industry leader committed to improving quality of life through innovative technology, customer-centric service, and operational excellence has a VP of Finance. <ul><li>Foster a culture of accuracy, analytical rigor, accountability, and continuous improvement. </li><li>Conduct consistent 1:1s and team meetings; own EOS annual and quarterly goals (rocks) for the finance function. </li><li>Oversee performance management, coaching, and career development for all direct reports. Financial Planning & Budgeting </li><li>Lead the annual budgeting process, long-range planning, and short-term forecasting. </li><li>Deliver accurate and timely financial statements, KPI reporting, and dashboard visibility into business performance. </li><li>Present financial results and key drivers to executive leadership and ownership. Financial Strategy & Business Leadership </li><li>Develop and execute the company's financial strategy aligned with organizational goals and market opportunities. </li><li>Provide strategic insights to support expansion initiatives including new product lines, reimbursement models, channel partnerships, and M&A opportunities. </li><li>Advise the executive team on financial implications of operational decisions, pricing strategies, and capital allocation. </li><li>Serve as a trusted partner in important customer and vendor negotiations</li></ul>
2026-09-17T00:00:00Z

VP/Director of Finance

Hawthorne, New York
onsite
Permanent / Full Time
130000 - 135000 USD / Yearly
We are looking for an experienced finance leader to guide accounting operations, reporting, budgeting, and payroll oversight for a healthcare-focused organization in Westchester, New York. This role partners closely with senior leadership to strengthen financial controls, support regulatory compliance, and deliver timely analysis that informs operational decisions. The ideal candidate brings deep expertise in financial reporting, cash flow management, and budget planning, along with the ability to improve processes and lead a high-performing finance function. Responsibilities:• Direct month-end and quarter-end financial activities, ensuring complete and timely preparation of statements, cash forecasts, reconciliations, and supporting analyses.• Oversee the integrity of financial records by reviewing transactions across finance systems and ensuring accurate posting of revenue, expenses, receipts, and disbursements to the general ledger.• Manage capital spending oversight and maintain fixed asset records to support accurate reporting and asset accountability.• Lead cash receipts controls and reporting practices across administrative and clinical locations, promoting consistency and reliability in affiliate-wide processes.• Supervise payroll operations, including review and approval of bi-weekly payroll, while partnering with Human Resources and Compliance on process enhancements or system-related updates.• Ensure required external reports and regulatory filings are completed accurately and submitted within deadlines to applicable agencies and oversight bodies.• Coordinate the development of operating, cash, and capital budgets, and provide ongoing forecasting, variance analysis, and financial projections throughout the year.• Partner with department and program leaders to build grant and funding proposal budgets, support public-sector voucher preparation, and maintain ledger structures that satisfy reporting requirements.• Support audit readiness and quarterly audit activities, contribute to finance work planning, and provide materials and reporting for Board finance committee meetings.• Serve as a member of the leadership team by evaluating finance department workflows, recommending improvements, and carrying out additional priorities assigned by the Chief Financial Office
2026-09-15T00:00:00Z