Sec Compliance Manager jobs in New York, NY

Sort by: relevance - date
Salary Estimate
Title
Company
Location
Job Type
Employer/Recruiter
Jobs 1 to 10 of 240
Upload your resume - Let employers find you
Financial Operations Examiner – Market Regulation, Trading &...
Finra 25 reviews - New York, NY
Analyze and evaluate new products to determine compliance with established rules and regulations. Interact with member firm personnel in areas such as...
Sponsored by Finra - 3 days ago
Compliance Examiner - Member Regulation, Sales Practice - Wo...
Finra 25 reviews - Woodbridge, NJ
And supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements....
Sponsored by Finra - 9 days ago
Audit Senior Manager, Quality and Professional Practice
KPMG 1,041 reviews - New York, NY
Monitor standard-setting activities and assist in developing KPMG guidance about Accounting and SEC topics. Generally Accepted Auditing Standards (GAAS), Public...
Sponsored by KPMG LLP - 15 days ago

Compliance Manager/Producing Rep

National Securities - Westbury, NY
We are looking to hire a full-time Compliance Manager, who is preferably also a producing representative, that will be responsible for providing compliance...
Easily apply

Financial Operations Examiner - Member Regulation, ROOR - Ne...

Finra 25 reviews - New York, NY
Conduct on-site examinations and assess member organization's financial and operational condition and compliance with SEC and FINRA rules and regulations....

Audit Manager

McGraw Hill Financial 209 reviews - New York, NY 10002 (Lower East Side area)
Our Hiring Manager says:. As an Audit Manager you will work closely with Managers and the Americas region head to carry out audits of operational and regulated...

Manager Agency Compliance

MetLife 998 reviews - New York, NY
Develops and maintains an agency specific compliance framework using company criteria and monitors processes to ensure adherence to compliance requirements....

Senior Branch Compliance Examiner

Compliance Search - New York, NY
A national retail institutional brokerage firm is seeking a Senior Compliance Examiner to ensure branch compliance with Firm policies, procedures and industry...
Easily apply

AM, Global Wealth Management Operations Support Specialist,...

JPMorgan Chase - Asset Management - New York, NY
Other duties will include the creation and ongoing maintenance of the Financial Advisor ADV Part 2B database, ensuring compliance with SEC regulations;...

Compliance Analyst

RBC 281 reviews - Jersey City, NJ
Draft Compliance approval / rejection e-mails. Administer employee compliance with Firm policy, SEC and FINRA rules and regulations with respect to Employee...

SEC Reporting Manager

The Quest Organization - New York, NY
Develop procedures to ensure compliance with GAAP and SEC reporting rules/pronouncements. MANAGER OF EXTERNAL REPORTING....
Easily apply

FCC Compliance Officer Wholesale

HSBC 2,606 reviews - New York, NY
To implement the Group compliance policy locally by containing compliance risk in liaison with the Head of Group Compliance, Global Business Compliance Officer,...

Senior Associate, Regulatory Enforcement & Compliance

KPMG 1,041 reviews - New York, NY
Hands-on experience working with compliance and business personnel, policies, procedures, systems and data sets....
Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra 25 reviews - New York, NY
Conduct on-site examinations and assess member organization's financial and operational condition and compliance with SEC and FINRA rules and regulations....
Sponsored by Finra - 4 days ago
14365- AML/Compliance
Randstad Professionals 8 reviews - Jersey City, NJ
Description The Regulatory Inquiry and Examination Unit Manager partners with the business, compliance and control areas to manage regulatory exams, inquiries...
Sponsored by Randstad Professionals - 26 days ago

Never miss a job. Get new jobs emailed to you daily.

Get email updates for the latest Sec Compliance Manager jobs in New York, NY
You can cancel email alerts at any time.
Get new jobs for this search by email
You can cancel email alerts at any time.
Company with Sec Compliance Manager jobs
25 reviews
FINRA is the largest independent regulator of securities firms doing business with the public in the United States.