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
Redbud Cyber Recruiting & Staffing
Location
New York, NY
Posted Date
Sep 25,2018
Info Source

Reporting to the EVP of Technology, the IT Compliance Manager is responsible for evaluating, designing, and developing critical policies and procedures necessary for Sarbanes-Oxley 404 ("SOX") ITGC .....

 
Company
Consentium Search
Location
Fargo, North Dakota
Posted Date
Sep 24,2018
Info Source

We are recruiting for an Environmental Compliance Manager in Fargo, ND. Relocation available within the US, Job 1143 at consentiumsearch.com Job Purpose: The incumbent will be responsible to align .....

 
Company
Legionella Compliance Services
Location
New York, NY
Posted Date
Sep 24,2018
Info Source

Does it excite you to gain peoples trust, keep people in compliance with new regulations, relieve their stress, close the deal, and manage the relationship? Do you enjoy being in a ..

 
Company
Legrand
Location
Fairfield, NJ
Posted Date
Sep 18,2018
Info Source

Communicates newly created regulations and compliance requirements to Engineering, Purchasing, Sales/Marketing, Product Management, etc. * Responsible for training the applicable groups in compliance .....

 
Company
Trandon Associates, Inc
Location
New York, NY
Posted Date
Aug 10,2018
Info Source

... self-manage, and be extremely organized. * Valid driver's license and reliable transportation Job Description: Take any type of Maintenance / Violation / Compliance request and address promptly .....

 
Company
Property Management
Location
Brooklyn, NY
Posted Date
Aug 06,2018
Info Source

... Management and Occupancy Reviews. We are a large Tax Credit and HUD Section 8 property with a ... compliance layers from move-in to move-out and be very organized. Health insurance ..

 
Company
The Compliance Search Group
Location
Manhattan, NY
Posted Date
Jul 22,2018
Info Source

The Compliance executive will oversee a wide array of investment management Compliance ... What You Will Do: · Manage the daily workflow of the group · Involved with SEC and other ..

 
Company
Key Career Services
Location
Manhattan, NY
Posted Date
Aug 20,2018
Info Source

RE: Broker Dealer Firm is seeking a Compliance Officer for the firms various fixed income ... Management System (TOMS). · Knowledge of SEC, FINRA, and MSRB regulations applicable to fixed .....

 
Company
Riverside Medical Group
Location
Secaucus, NJ
Posted Date
Mar 21,2018
Info Source

The Compliance Manager must exhibit an understanding of coding concepts, AMA, CMS/OIG/Federal/State regulations and guidelines. Responsibilities Include: Coding Compliance Chart Audit Reviews..

 
Company
Key Career Services
Location
Manhattan, NY
Posted Date
Aug 21,2018
Info Source

... Compliance and Legal. · Communicate with traders and supervisors to assess risk and remediate issues. · Proficient in time management and able to initiate and manage projects. · Actively monitor ..

 
Company
Allied Millennial Partners & Millennial Advisers
Location
New York, NY
Posted Date
Sep 07,2018
Info Source

We are looking for an individual with a regulatory compliance background and a desire to quickly ... supervisor, manager or higher at FINRA or the SEC, or comparable credentials; * Securities ..

 
Company
The Forum Group
Location
New York, NY
Posted Date
Mar 22,2016
Info Source

Managing the local compliance program for this business area in a manner designed to meet ... management function, or law firm. Bachelor's degree; law degree a plus. Strong knowledge of SEC ..

 
Company
Twenty Recruitment Group - US
Location
New York, NY
Posted Date
Sep 10,2018
Info Source

Specifically, FED, FINRA, SEC, CFTC, NYSE, and OCC. Experience providing regulatory, legal and ... J.D. preferred. This is a high visibility level role that will see you build and manage .....

 
Company
MetLife
Location
Whippany, NJ
Posted Date
Jun 30,2018
Info Source

MetLife Investment Management is an institutional investment manager with breadth across various ... SEC-registered investment advisers remain in compliance with relevant state and federal rules and .....

 
Company
The Compliance Search Group
Location
New York, NY
Posted Date
Aug 11,2018
Info Source

Manage business risks through the development, planning and execution of the Compliance Program ... SEC point person for regulatory examinations, inquiries and other data requests. * Prepare and .....

 
Company
Interactive Brokers
Location
New York, NY
Posted Date
Jun 30,2018
Info Source

... management tools. ¹Figures as of June 30, 2018 ... Job Description and Responsibilities Interactive Brokers LLC is an SEC-registered broker-dealer and .....

 
Company
MARSH & MCLENNAN COMPANIES, INC
Location
New York, NY
Posted Date
Sep 20,2018
Info Source

Both firms are licensed as a broker-dealer with FINRA and adviser with the SEC. * The SCO supports ... May manage and/or provide direction to junior Compliance professionals. Qualifications * BA/BS ..

 
Company
The Blackstone Group LP
Location
New York, NY
Posted Date
Mar 05,2018
Info Source

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

 
Company
Credit Suisse -
Location
New York, NY
Posted Date
Sep 04,2018
Info Source

Familiarity with the SEC and FINRA requirements associated with the review and approval of ... Line Coverage Compliance Officer (CIG) - Asset Management # 115851..

 
Company
The Forum Group
Location
New York, NY
Posted Date
Jul 20,2016
Info Source

Bachelor's degree or equivalent Two to three years of compliance experience at a financial institution such as a bank or asset manager Experience reviewing marketing materials for compliance with SEC .....

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