Sec Compliance Manager Jobs in Manhattan, New York | ComplianceCrossing.com
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Sec Compliance Manager Jobs in Manhattan






Job info
 
Location
New York City, NY
Posted Date
Feb 22, 18
Info Source
Employer  - Full-Time   
Total Views
9

Posting Number 2017-3304 Location US-NY-New York Posted Date 6/23/2017 Union N/A School/Division College of Dentistry (DN1032) Department Name : Clinical Revenue Cycle and Clinical Support Services FT/PT Full-Time Position Summary: Under ..

 
Company
Deutsche Bank - US
Location
Manhattan, NY
Posted Date
Feb 23,2018
Info Source

Compliance OfficerCorporate Title: Vice PresidentLocation: New York, NY About Deutsche Bank A ... of ERISA, SEC, FINRA and CFTC regulations applicable to a hybrid wealth management business .....

 
Company
Morgan Stanley USA
Location
New York City, NY
Posted Date
Feb 22,2018
Info Source

... management services. The Firm's employees serve clients worldwide including corporations ... Extensive knowledge of FINRA and SEC regulations (GIPS guidelines a plus) addressing marketing and .....

 
Company
Invesco
Location
New York, NY
Posted Date
Feb 22,2018
Info Source

- Compliance Manager (Senior Loans) (21022) Job Description ... (Senior Loans) (21022) Job Description Compliance Manager (Senior Loans) - 21022 ... ... years of experience working with SEC regulations in..

 
Company
Invesco
Location
New York, NY
Posted Date
Feb 22,2018
Info Source

... assets under management. We provide our retail and institutional clients a diverse and ... to meet SEC/regulatory requirements and ensure compliance with all policies and procedures..

 
Company
EquiLend
Location
New York, NY
Posted Date
Feb 22,2018
Info Source

Report directly to the Manger of North American Compliance * Responsible for Compliance related tasks for the Firm's US (SEC & FINRA) and Canada (IIROC, OSC) regulated businesses including, but not ..

 
Company
CareerBliss
Location
New York City, NY
Posted Date
Feb 21,2018
Info Source

An individual who has been working for four+ years in a regulatory compliance related role with ... SEC as Investment Adviser and with the NFA/CFTC as CPO, and it manages CLOs, ..

 
Company
Deutsche Bank
Location
New York, NY
Posted Date
Feb 20,2018
Info Source

It manages the Bank's risks and help to avert unintentional rule breaches and conflicts of interest ... SEC, broker dealer regulations and other relevant bank regulations * Ability to readily analyze ..

 
Company
EY (Ernst & Young)
Location
New York, NY
Posted Date
Feb 16,2018
Info Source

... products and wealth management, financial crimes, consumer compliance, and regulatory ... Basic understanding of FINRA, SEC broker-dealer regulations (e.g., Reg. ATS, Reg. NMS, Best .....

 
Company
Blackstone Group
Location
New York, New York
Posted Date
Feb 14,2018
Info Source

Preparing regular reports to the portfolio managers and senior management regarding legal and compliance matters * Coordinating various SEC, CFTC and foreign regulatory filings, including Section 13 .....

 
Company
Wall Street Options
Location
New York, NY
Posted Date
Feb 09,2018
Info Source

Growing Alternative Asset Manager with over $20 Billion of AUM. The platform includes private ... Ensure compliance with the Funds' governing documents as well as SEC (Registered Investment Advisor .....

 
Company
Wall Street Options
Location
New York, NY
Posted Date
Feb 09,2018
Info Source

... compliance notices and assist the FINOP with any regulatory examinations and inquiries Ongoing ... of SEC regulations a plus Company Description Wall Street Options (WSO) Executive Search .....

 
Company
BNP Paribas
Location
New York City, NY
Posted Date
Feb 02,2018
Info Source

Compliance Risk Management Program: covering 2nd Lines of Defense ("LoD") (notably Compliance and ... S. securities, commodities, and banking regulations, including the rules and regulations of the SEC .....

 
Company
New York Life Insurance Company
Location
New York City, NY
Posted Date
Feb 02,2018
Info Source

... with SEC Rule 204-3. Manage a team of 3 associates to administer Eagle's regulatory compliance programs and support Eagle's business initiatives. Set objectives for the team and provide guidance .....

 
Job title
Company
Centri Business Consulting, LLC
Location
New York, NY
Posted Date
Jan 30,2018
Info Source

... and SEC reporting requirements, you will research technical accounting matters including complex ... Knowledge of Sarbanes-Oxley Act provisions and methodologies for achieving compliance. * Proficient .....

 
Company
HSBC Group
Location
New York, NY
Posted Date
Jan 18,2018
Info Source

Provide support for qrtly SEC, Group and regulatory reporting needs related to RBWM including CCAR ... To implement the Group compliance policy locally by containing compliance risk in liaison with the ..

 
Company
Deloitte
Location
New York, NY
Posted Date
Jan 12,2018
Info Source

Solutions Delivery Sec-Ops Manager Location: Chicago preferred, all locations will be considered ... compliance, and IT process automation Devise and implement automated workflows to reduce manual .....

 
Company
Morgan Stanley
Location
New York, NY
Posted Date
Dec 21,2017
Info Source

... SEC registered Investment Advisers for the Morgan Stanley Investment Management Private Side ... Compliance program globally. The role will be based in New York and report to the Head of ..

 
Company
The Compliance Search Group
Location
New York, NY
Posted Date
Dec 06,2017
Info Source

A global Management Consulting firm seeks a smart, energetic, motivated person with Compliance ... Involved with Regulatory filings including SEC Form ADV; Form 13F and 13H; Schedule 13G and 13D..

 
Company
Network Resources
Location
new york, NY
Posted Date
Oct 09,2017
Info Source

Manage daily activities of the EDGAR Group • Plan staffing schedules to ensure adequate client coverage • Create and maintain harmonious relationships with SEC staff in OIT, IM, Corp Fin and ..

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