Sec Compliance Manager jobs

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Jr. Audit Manager
Amyx - Washington, DC
Foster strong compliance and risk management practices; And 4) provide the SEC with information about the industry’s compliance and the implementation of rules...
Sponsored by Amyx - 27 days ago
Compliance and Risk Advisory Services - Managers and Seniors
fulltimeGiGs - Woodland Hills, CA
Positions are available at the Senior, Manager, and Practice Leader levels. For the Compliance and Risk Advisory Services (CRS) Manager, w e are seeking...
Sponsored by fulltimeGiGS - 21 days ago

Compliance Director

The Hartford Financial Services 234 reviews - Radnor, PA
Hartford Funds is seeking an experienced compliance professional to serve in the capacity of Compliance Director....
The Hartford - 14 hours ago - save job - block - email - more...

Complex Risk Officer

Morgan Stanley 702 reviews - Columbus, OH - +9 locations
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures. Morgan Stanley Wealth Management compliance policies and procedures....
19 hours ago - save job - block - email - more...

Compliance Manager

Towers Watson 98 reviews - Philadelphia, PA
Heavy exposure to SEC and financial reporting. The Compliance Manager, under the direction of the Director of SEC Reporting and Technical Accounting, is...
12 days ago - save job - block - email - more...

Senior Complex Risk Officer

Morgan Stanley 702 reviews - Syracuse, NY - +2 locations
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures. Morgan Stanley Wealth Management compliance policies and procedures....
6 days ago - save job - block - email - more...

SOX/SEC Reporting Manager

Aegerion Pharmaceuticals, Inc. - Cambridge, MA
Recognition, financial reporting and analysis and SEC compliance. On all SEC filings. This individual will report to Manager,....
Easily apply
19 hours ago - save job - block - email - more...

Senior Compliance Officer

Invesco 47 reviews - Houston, TX
Interact with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring...
7 days ago - save job - block - email - more...

Regulatory Compliance Manager

DST Systems 67 reviews - El Dorado Hills, CA
DST Output is looking for an accomplished Regulatory Compliance Manager. Regulatory Compliance Managers demonstrate extensive knowledge in regulatory...
1 day ago - save job - block - email - more...

Manager, Brokerage Compliance

E*TRADE Financial 66 reviews - Jersey City, NJ
The Brokerage Compliance department at E*TRADE is searching for a Manager level position to oversee the Customer Complaints team....
13 days ago - save job - block - email - more...

Compliance Manager

Vista Consulting - San Francisco, CA
This Compliance Manager position works directly with the Firm’s Chief Compliance Officer to handle various regulatory filings, Federal and state filings,...
3 days ago - save job - block - email - more...

Manager, Compliance - BrokerDealer Operations

Ameriprise Financial 234 reviews - Minneapolis, MN
Partner with other departments including the General Counsel’s Office and other Compliance areas to identify, communicate, and support Compliance initiatives on...
12 days ago - save job - block - email - more...
Compliance and Risk Advisory Services - Managers and Seniors
Cameron Craig Group - Woodland Hills, CA
Positions are available at the Senior, Manager, and Practice Leader levels. For the Compliance and Risk Advisory Services (CRS) Manager, w e are seeking...
Sponsored by Cameron Craig Group - 21 days ago
Sr Compliance Analyst
MetLife 807 reviews - Charlotte, NC
This is a broad-based compliance position, with responsibilities spanning many different areas of compliance applicable to a wholesale broker/dealer and major...
Sponsored by MetLife - 14 days ago
Sr Tax Compliance
The Ashlar Group - Boston, MA
$60 an hour
Review and prepare tax work papers (partnership allocations under IRC Sec. Review and prepare monthly allocation spreadsheets and assist Tax Managers with...
Sponsored by eFinancialCareers - 3 hours ago

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