Sec Compliance Manager jobs

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Manager, Prudential Advisors Compliance
Prudential - 1,443 reviews - Newark, NJ 07102
Manager, Prudential Advisors Compliance. The Prudential Advisors Compliance department is responsible for policy development, Business Unit support and...
Sr Manager Active Trader Compliance
Manager of Active Trader Compliance implements an effective compliance program to preserve our reputation with the Trader business....
Manager, Compliance
Prudential - 1,443 reviews - Newark, NJ 07102
Compliance Manager– Level 9 Position. Familiarity with applicable SEC and FINRA rules; The position will report to the Compliance Director and will provide...

Manager, Financial Reporting and Controls

Spectrum Brands - 169 reviews - Middleton, WI
Working knowledge and understanding of GAAP, SEC reporting requirements, and Sarbanes Oxley 404 requirements. 6 years in accounting or auditing profession with...

HR Compliance Manager

Heartland Financial USA, Inc. - 2 reviews - Dubuque, IA
Disclosure compliance for proxy statements as directed by the SEC or other. Point of contact for HR regulatory compliance....

Senior Compliance Testing Officer

BOK Financial - 251 reviews - Tulsa, OK 74103
Risk Management, Compliance; Key responsibilities include preparation of detailed compliance testing reports to Managers and Directors, assisting in formulating...

Audit Manager, Regulatory Compliance Risk

Prudential - 1,443 reviews - Newark, NJ
If so, we are looking for an experienced compliance professional or auditor with experience in the insurance/financial services regulatory compliance arena....

Compliance Manager

Unison - San Francisco, CA
Assist the Chief Compliance Officer with the Adviser’s compliance program. 3 years+ of investment advisory compliance experience required....
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Internal Audit/Compliance Manager

CliftonLarsonAllen - 66 reviews - St. Louis, MO
Strong understanding of bank consumer compliance regulations. Preparing and / or reviewing internal audit and compliance reports....

Manager, SEC Reporting & SOX Compliance

Evofem Biosciences - San Diego, CA
SEC Reporting & SOX Compliance:. Strong and extensive knowledge of SEC Reporting and US GAAP. Leads all aspects of SEC reporting, including reviewing XBRL...
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Manager, Sarbanes-Oxley Compliance

MGM Resorts International - 805 reviews - Las Vegas, NV 89109
He Manager of Sarbanes-Oxley (SOX) Compliance will help establish and maintain MGM Resorts International’s SOX internal controls framework, ensuring financial...
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Compliance Manager

Ameriprise Financial - 699 reviews - Boston, MA 02298 (Central area)
Provide compliance guidance to line of business partners designed to expand and enhance the compliance program....

Compliance Manager

The Bank of San Antonio - Castle Hills, TX
Functional knowledge of SEC regulations and compliance requirements desired. Reviewing and revising, as necessary, all bank, insurance and RIA compliance...
Senior SEC Reporting Analyst
Robert Half Finance & Accounting - 85 reviews - Atlanta, GA 30309
$70,000 - $90,000 a year
Ensure compliance with GAAP and SEC accounting and reporting. Manager of SEC Reporting. Assure compliance of external financial statements and disclosures....
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Financial Reporting Manager
Experience with SOX 404 compliance. 3+ years of experience with SEC disclosure and reporting requirements....