Sec Compliance Manager jobs

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COMPLIANCE MANAGER
Colony NorthStar, Inc. - New York, NY
Applicant must have knowledge of asset management, legal and regulatory compliance, familiarity with SEC regulatory review and interpretation of regulations....
Sponsored
Compliance Analyst
Prudential - 1,075 reviews - Newark, NJ 07102
Compliance seeks a Compliance Analyst to support PGIM's Public Fixed Income unit in Newark, NJ. Assist in updating Compliance policies and procedures....
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Internal Controls and Compliance Sr. Manager
Accenture - 8,574 reviews - Chicago, IL
Responsible for staying current and integrating external requirements from public accounting firms, PCAOB, FASB, SEC, etc....
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Senior Compliance Manager

Manulife Financial - 229 reviews - Boston, MA
Experience in a SEC Rule 38a-1 or 206(4)-7 related role. Testing and oversight of policies relative to SEC Rule 38a-1 Cybersecurity Risk Management Procedures....

Senior Manager, SOX Compliance

Health Support Center - Brentwood, TN
Assist with activities related to SOX SEC filings. The Senior Manager, SOX Compliance will be responsible for assisting the Director, SOX Compliance in the...

Senior Compliance Manager

John Hancock - 167 reviews - Boston, MA
Senior Compliance Manager. IMS Corp Compliance Office. Experience in a SEC Rule 38a-1 or 206(4)-7 related role....

Senior Compliance Manager

Invesco - 104 reviews - Houston, TX
Legal- Compliance & Internal Audit. The Senior Compliance Manager is responsible for developing, implementing, testing and maintaining an effective compliance...

Compliance Manager

Ameriprise Financial - 520 reviews - Minneapolis, MN
Knowledge of FINRA, SEC and other regulatory rules/requirements. Review and report on the effectiveness of field compliance supervision, including...

COMPLIANCE MANAGER

Colony NorthStar, Inc. - New York, NY
Applicant must have knowledge of asset management, legal and regulatory compliance, familiarity with SEC regulatory review and interpretation of regulations....

Corporate Compliance-Exam Manager-Vice President

JPMorgan Chase - 12,510 reviews - New York, NY
Our Compliance Function. The Securities Exam Management team in CIB Compliance handles regulatory examinations and other regulatory engagements conducted by a...

Manager, SOX Compliance (R16-685)

Portland General Electric - 37 reviews - Portland, OR 97204 (Downtown area)
Manager, SOX Compliance (R16-685)*. Support other SEC reporting processes by reviewing disclosure statements such as Earnings Releases, Proxy Statements, Annual...
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Compliance Manager

Phoenix American Inc - San Rafael, CA 94901
6+ years work experience in financial services auditing and/or compliance management. Strong working knowledge with investment fund life cycle administration in...

Manager, SEC Reporting and SOX Compliance

Ligand Pharmaceuticals - San Diego, CA 92121
Manager, SEC Reporting and SOX Compliance. The Manager, SEC Reporting and SOX Compliance is a newly created position reporting to the Controller....
Compliance Analyst - Adviser Due Diligence
Prudential - 1,075 reviews - Newark, NJ 07102
Perform other compliance functions on an “as needed” basis for PI Compliance. Prudential Investments (“PI”) Compliance is seeking a compliance professional to...
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U.S. Head of Compliance
Tradeweb Markets LLC - 2 reviews - New York, NY 10036
Currently working in compliance; Authority over all compliance functions and staff acting in furtherance of those compliance functions....
Sponsored by Tradeweb

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