Sec Compliance Manager jobs in Edison, NJ

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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....
Sponsored
AT - Internal Auditor Specialist
Certified Regulatory Compliance Specialist. Solid understanding of GAAP, SEC reporting requirements, Sarbanes Oxley act, COSO and PCAOB rules....
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Compliance Manager - FESCO

Foresters Financial - 103 reviews - Edison, NJ
Assist the Chief Compliance Officer in developing and directing the overall Compliance Program and strategy for FESCO Compliance....

Sr Manager, DOL and Retirement - Compliance

TD Ameritrade - 263 reviews - Jersey City, NJ
Interface with Compliance and business partners on ERISA and DOL requirements. Review operations from a compliance perspective and document gaps in procedures...

Compliance Officer- Market Survelliance

Citi - 9,040 reviews - Jersey City, NJ
Compliance and Control. FINRA, SEC, CFTC) encompassing all of the rules. The ideal candidate must have an undergraduate degree with 5+ years of experience in...

Compliance Analyst - Adviser Due Diligence

Prudential - 1,075 reviews - Newark, NJ
Perform other compliance functions on an “as needed” basis for PI Compliance. Prudential Investments (“PI”) Compliance is seeking a compliance professional to...

Manager, Quality Control

Amicus Therapeutics - 3 reviews - Cranbury, NJ
Adhere to all relevant compliance regulations. Advanced understanding biopharmaceutical analytical testing, with specific emphasis on HPLC methods (including...

Vice President - Senior Control Supervisor – Head Office Rep...

BNP Paribas - 1,225 reviews - Jersey City, NJ 07310 (Downtown area)
The Department is responsible for ensuring compliance with Group and CIB Head Office controls guidelines principally under IFRS and expanding to adapt with an...

Sr Analyst, Regulatory Oversight Reviews

TD Ameritrade - 263 reviews - Jersey City, NJ
​This position works as a member of TD Ameritrade’s Compliance team as a key contributor to establishing Compliance Oversight Programs supporting the key TDA...

Vice President – IT Risk Manager

BNP Paribas - 1,225 reviews - Jersey City, NJ 07310 (Downtown area)
Or a similar Governance, Risk and Compliance Tool (GRC Tool). The IT Risk Manager has to ensure, in coordination with different stakeholders (Risk, IT Risk...

Manager, BondPoint Trading Platform

KCG Holdings, Inc. - Jersey City, NJ
Compliance with all Regulation ATS, FINRA, MSRB and SEC requirements. KCG is a leading market maker working in three continents, across four asset classes, on...

Compliance Officer - Market Surveillance

Citi - 9,040 reviews - Jersey City, NJ
Compliance and Control. FINRA, SEC, CFTC) encompassing all of the rules. The ideal candidate must have an undergraduate degree with 5+ years of experience in...
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...
Sponsored
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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