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






Job info
 
Company
Bankers Select
Location
New York City, NY
Posted Date
Jun 22,2018
Info Source

Product Control, Middle Office, Risk Management, Compliance, Operations, Settlement and Collateral ... Volcker, DF Real Time Reporting, SEC Capital and Client Asset rules and US market structure as well .....

 
Company
Robert Half - US
Location
New York, NY
Posted Date
Jun 22,2018
Info Source

FINRA, SEC, CFTC) that provide oversight of the firm. Additional duties may include managing Compliance IT projects, handling special projects, and training of other staff. Primary Responsibilities..

 
Company
New York Life Insurance Company
Location
New York, NY
Posted Date
Jun 22,2018
Info Source

Total assets under management at year end 2017, with affiliates, totaled $586 billion. New York ... SEC) and Broker Dealer regulations (FINRA). • Excellent Excel skills • Familiarity with .....

 
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
Robert Walters Associates Inc
Location
Manhattan, NY
Posted Date
May 30,2018
Info Source

... SEC or the Federal Reserve would be an advantage. Proven ability to effectively manage a team and ... A Leading Global Investment Manger is looking for a Director of Compliance ..

 
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
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
Pivotal Planning Group, LLC
Location
Jericho, NY
Posted Date
Mar 02,2018
Info Source

Perform other office management duties as needed. An Ideal Candidate will have: * Five + years of industry compliance experience. * Demonstrated experience as a Compliance Officer at a SEC Registered ..

 
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
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
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
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
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
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
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
JPMorgan Chase
Location
Hoboken, NJ
Posted Date
May 24,2018
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
BNY Mellon Investment Management
Location
New York, NY
Posted Date
Jun 21,2018
Info Source

Serves as a technical expert on FINRA, SEC, NFA and MSRB regulations, and all other applicable ... managing the moderately complex administrative, operational and financial affairs of the Compliance .....

 
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
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 .....

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