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






Job info
 
Company
The Compliance Search Group
Location
New York, NY
Posted Date
Jun 20,2018
Info Source

Produce management information and facilitate reporting to senior ... Experience with FINRA, SEC, CFTC and other financial regulators Please email resumes to Jack Kelly .....

 
Company
Michael Page International - US
Location
Jersey City, NJ
Posted Date
Jun 19,2018
Info Source

FINRA, SEC) Ongoing assessment of surveillance efficiency and reporting to management Direct targeted reviews in response to inquiries from Compliance, Legal, or Human Resources personnel; Interpret .....

 
Company
JPMorgan Chase
Location
Bronx, NY
Posted Date
Jun 15,2018
Info Source

... SEC, JP Morgan Securities LLC and JPMorgan Chase. You will also be required to demonstrate ... Strong compliance record in prior position(s) + Ability to create and foster strong partnerships ..

 
Company
Hunt Companies, Inc
Location
Rye Brook, NY
Posted Date
Apr 26,2018
Info Source

Conducts Market Access (SEC Rule 15c3-5) implementation, review and annual testing. * Analyzes ... Supports and manages procedures for the safeguarding of client records and information. * Performs .....

 
Company
JPMorgan Chase and Co
Location
New York, NY
Posted Date
Apr 30,2018
Info Source

The Contract Specialist willfocus on being an effective transaction manager by performing the ... Compliance, Fee Billing, etc.) to get input on various provisions to help resolve complex issues .....

 
Company
Russell Tobin
Location
New York, NY
Posted Date
Jun 13,2018
Info Source

An opening is available to help manage the US Marketing Compliance team. This team sits within ... Knowledge FINRA and SEC rules and regulations * Strong analytical and (written and oral ..

 
Company
The Forum Group
Location
New York, NY
Posted Date
Mar 28,2018
Info Source

... as SEC, NYSDFS, FINRA, OCC, and/or CFTC o Experience preparing or performing audit functions ... management firm is seeking to add a dynamic Compliance Analyst to it's Monitoring & Testing ..

 
Company
Clinical Genomics
Location
,
Posted Date
Jun 11,2018
Info Source

Lead all compliance related activities required by the relevant regulatory groups associated with CG businesses including but not limited to FDA and SEC * Manage the execution of Healthcare .....

 
Company
eclaro
Location
New York, NY
Posted Date
Jun 11,2018
Info Source

Support the Sarbanes-Oxley compliance efforts * Supervise consolidation team * Oversight and ... SEC filings experience..

 
Company
Abacus Group LLC
Location
New York, NY
Posted Date
May 23,2017
Info Source

Ensure compliance with SEC/NFA guidelines, ISO 27001, COBIT, and NIST standards * Establish and oversee a formal vulnerability and patch management program * Stay informed on emerging security trends .....

 
Company
The Forum Group
Location
New York, NY
Posted Date
Mar 21,2016
Info Source

Manage team to ensure requirements are met Preclearance, Post Trade Monitoring and Employee ... Serve as the Compliance point for SEC, regulatory filings and other reporting (13f, 13g, Form PF .....

 
Company
Interactive Brokers
Location
New York, NY
Posted Date
Jun 08,2018
Info Source

... risk management tools. [1] Figures as of January 1, 2018. Information on the company can be found ... Job Description and Responsibilities Interactive Brokers LLC is an SEC-registered broker-dealer and ..

 
Company
Hunt Companies, Inc
Location
New York, NY
Posted Date
Apr 23,2018
Info Source

Additional duties include compliance support, such as reviewing marketing materials and managing ... Understands SEC rules and regulations and how they apply to our business. * Reviews, edits and .....

 
Company
Adam Personnel, Inc.
Location
New York, NY
Posted Date
May 26,2018
Info Source

General Description Under the direction of the Managing Partner, supervises activities of financial ... SEC, MSRB, and State Securities or Insurance Commissioners. Monitors activities with respect to .....

 
Company
Meridian Legal Search
Location
New York, NY
Posted Date
Jun 13,2018
Info Source

Senior Compliance Officer Will assist the CCO for Private Banking. Emphasizes wealth management in ... Investment Advisers Act, SEC and FINRA rules and regulations. Also, deal with High Net Worth .....

 
Company
Yoh Services
Location
New York, NY
Posted Date
Jun 13,2018
Info Source

Under the direction of an Audit Management staff member, this position functions as a working audit ... broker dealers and related compliance is required. * Knowledge of SEC and FINRA rules ..

 
Company
Integrated Management Solutions USA LLC
Location
New York, NY
Posted Date
Apr 21,2018
Info Source

Manage global compliance staff of two employees Develop, maintain and enforce written supervisory ... Primary liaison with relevant regulators including the SEC and FINRA. Essential Skills: Current .....

 
Company
Deutsche Bank - US
Location
Manhattan, NY
Posted Date
Jun 04,2018
Info Source

... management of the overall compliance program for the CFTC-regulated swap and SEC-regulated security-based swap trading activities of Deutsche Bank globally, and for the foreign-regulated swap .....

 
Company
Twenty Recruitment Group - US
Location
New York, NY
Posted Date
Apr 18,2018
Info Source

... SEC-registered investment adviser, with an emphasis on reviewing marketing material and various ... helping to coordinate/manage regulatory examinations The role will suit a highly motivated .....

 
Company
New York Life Insurance Company
Location
New York, NY
Posted Date
Jun 12,2018
Info Source

Total assets under management at year end 2017, with affiliates, totaled $586 billion. New York ... SEC, FINRA, state insurance and securities regulators, etc. • Act as the Service compliance .....

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