Investment Compliance Manager Jobs in Dix Hills, New York | ComplianceCrossing.com
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Investment Compliance Manager Jobs in Dix Hills

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Location
Plainview, NY
Posted Date
Nov 19, 17
Info Source
Recruiter  - Full-Time   
Total Views
3

Seeking an experienced Compliance Manager for our client. *Please note, ... this opportunity*Essential Job Functions:Manage a Compliance Management System capable of evaluating ... evaluating and monitoring the overall compliance of..

 
Company
Northstar Financial
Location
Hauppauge, NY
Posted Date
Nov 22,2017
Info Source

COMPLIANCE MATTERS • Reviews and drafts firm operating policies, procedures and guidelines • ... investments, CFCs, commodities, swaps, and currencies • Ability to focus on clients and manage .....

 
Company
CPA Firm
Location
Garden City, NY
Posted Date
Nov 21,2017
Info Source

Tax Compliance, Research, Consulting * Provide clients with tax guidance regarding planning and ... – Commercial, Residential, Investment, REITSs. * 3 – 7 years experience * Tax Manager .....

 
Company
Oerlikon Metco
Location
Old Westbury, NY
Posted Date
Nov 21,2017
Info Source

... investment, quality and safety). II. PRINCIPAL RESPONSIBILITIES * Oerlikon Metco (US) Inc. is ... Introduction and implementation of measures for compliance with business objectives * Securing .....

 
Job title
Company
EBS Group
Location
Huntington, NY
Posted Date
Nov 20,2017
Info Source

Fixed Income Investing Underwriting Financial Strategies Asset Liability Management Regulatory ... compliance with company policy and securities regulations. * Implement training on obtaining new .....

 
Job title
Company
Sharestates LLC.
Location
Great Neck, NY
Posted Date
Nov 16,2017
Info Source

Business relationship sales management skills and the ability to understand and anticipate the ... Keeps abreast of institutional Underwriting best practices, compliance and guidelines * Evaluates .....

 
Company
Oerlikon Surface Solutions
Location
Old Westbury, NY
Posted Date
Nov 15,2017
Info Source

Manage the preparation of financial outlooks and financial forecasts * Prepare financial analysis for contract negotiations and product investment decisions * Ensure compliance with local, state, and .....

 
Company
Cybercoders
Location
Hicksville, NY
Posted Date
Nov 14,2017
Info Source

... Senior Management Team with a background in Mergers and Acquisitions. You would be reporting ... Ideally we need someone with strong investment relations/connections as well as a strong financial .....

 
Job title
Company
Broadridge
Location
Deer Park, NY
Posted Date
Nov 06,2017
Info Source

... compliance requirements, and gain further insight into share ownership and voting behavior to ... You will conduct regular product reviews, and invest in or sunset products as appropriate..

 
Job title
Company
David Lerner Associates
Location
Syosset, NY
Posted Date
Nov 06,2017
Info Source

Written communications with regulatory agencies and investors * Trade reviews (municipal securities ... management of nearly $7 billion. From the beginning, the firm has been committed to educating the .....

 
Job title
Company
AXA Advisors, LLC
Location
Woodbury, NY
Posted Date
Nov 06,2017
Info Source

Ensuring compliance oversight and supervision In addition, the District Manager will exemplify the ... strategies, investment services and risk management. With more than 50 Branches in the United .....

 
Company
Financial and Tax Services
Location
Woodbury, NY
Posted Date
Nov 03,2017
Info Source

Our financial services firm addresses all the pieces of our clients' financial matters: investment ... Reviewing annual compliance changes and reporting those changes to management · Tracking and .....

 
Company
Cybercoders
Location
Melville, NY
Posted Date
Oct 23,2017
Info Source

... compliance to our loans but also a tremendous turn time and phenomenal customer service. Our ... Utilizes Encompass to manage closing pipeline for Closing Disclosures sent, Closing Packages sent .....

 
Job title
Company
FRANKLIN FIRST FINANCIAL
Location
Melville, NY
Posted Date
Oct 20,2017
Info Source

Work closely with processing and/or account management to answer specific loan questions, clarify ... investor eligibility requirements, and state/federal regulatory compliance. * Strong working .....

 
Job title
Company
Bank of America
Location
Islip, NY
Posted Date
Oct 19,2017
Info Source

Balancing investment management, sales activities, customer service, new client development, administrative, compliance and personal growth and development according to both a day-to-day and longer .....

 
Company
Custom Architectural and Engineering Company
Location
Melville, NY
Posted Date
Oct 19,2017
Info Source

... compliance and financial procedures. · Ensure timeliness and accuracy of financial and management ... investments and asset management area. · Explore new investment opportunities and provide .....

 
Job title
Company
PlanMember Securities
Location
Farmingville, NY
Posted Date
Sep 27,2017
Info Source

... wealth management services for individual investors. We work with many educators and public ... School districts and other nonprofit employers rely on Mutual to help them stay in compliance with ..

 
Company
Paul Global Benefits
Location
Syosset, NY
Posted Date
Mar 31,2017
Info Source

Utilize investment analytic tools e.g. RPAG, Morningstar, FI360 to analyze/benchmark the plan ... compliance and plan administration * Facilitating discussions with clients regarding legal .....

 
Company
Deloitte
Location
Jericho, New York
Posted Date
Jan 29,2017
Info Source

Tax Managers use their experience in accounting and taxation to provide tax compliance and consulting services to Investment Management clients. They must be familiar with the tax consulting process .....

 
Company
IPVideo Corporation
Location
Bay Shore, NY
Posted Date
May 04,2015
Info Source

Ensures compliance with customer agreements. * Drives adoption of company programs among assigned ... security investment. Our AVfusion product provided a state-of-the-art Audio/Video recording .....

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