Sec Compliance Manager jobs in New York, NY

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Manager, Cyber Risk & Compliance
Dow Jones - 108 reviews - New York, NY 10176
Cyber Strategy, Governance, Risk Management & Compliance. Responsible for managing the compliance program which currently includes SOX & PCI....
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Compliance Manager
Invesco - 91 reviews - New York, NY 10036
The Senior Compliance Officer serves as the focal point for compliance activities. Legal- Compliance & Internal Audit....
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Financial Operations Examiner – Market Regulation, Trading &...
Finra - 37 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...
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Compliance Manager

Invesco - 91 reviews - New York, NY 10036 (Clinton area)
The Senior Compliance Officer serves as the focal point for compliance activities. Legal- Compliance & Internal Audit....

Dreyfus Adviser Compliance Manager

BNY Mellon - 1,546 reviews - New York, NY
The Compliance Manager reports to the Dreyfus Chief Compliance Officer and will be a member of the BNY Mellon Investment Management Risk and Compliance...

Compliance Manager - Volcker

Stifel Nicolaus - 21 reviews - New York, NY
Anticipates emerging Compliance needs and opportunities; Reviews and updates, the management framework to ensure clear delineation of responsibility and...

Client Onboarding Risk and Reporting Specialist

UBS - 749 reviews - New York, NY
Have an understanding of regulations issued by FINRA, SEC. 7 to 10 years of experience with in a financial services, operational or compliance fields....

EAC Compliance Manager

Bank of America - 14,133 reviews - New York, NY
The EAC Compliance Manager reviews team deliverables to support consistent quality of activities, processes and outputs....

Senior Manager, Technical Accounting

Shake Shack - 168 reviews - New York, NY
Act as supplemental reviewer of quarterly SEC filings. § Strong knowledge of US GAAP and SEC reporting rules....

Compliance Manager

Bank of America - 14,133 reviews - New York, NY
Compliance Manager responsible for managing day to day compliance responsibilities for prime brokerage, financing, clearing, settlement and capital introduction...

Regulatory Manager (Compliance)

Gresham Hunt - New York, NY
$150,000 a year
Certified Regulatory Compliance Manager. Regulatory Manager/Senior Manager*. Five years’ consulting and advisory experience in the Financial Services Industry...
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Audit Manager

UBS - 749 reviews - Weehawken, NJ
Monitoring regulatory compliance with SEC, FINRA, and OCC for broker/dealer regulations and fiduciary requirements;...

Audit Manager

S&P Global - 6 reviews - New York, NY 10002 (Lower East Side area)
Our Hiring Manager says:. The Audit Manager is responsible for both Sarbanes-Oxley compliance and risk-based audit activities across several different business...
Compliance Consultant 4
Wells Fargo - 13,774 reviews - New York, NY
Maintain and update as necessary existing Compliance programs to enable LOB management to demonstrate to regulators the firm’s compliance with FINRA and SEC...
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Manager, Compliance
Prudential - 956 reviews - Newark, NJ 07102
The compliance manager will also:. With respect to the SIRG compliance program, the compliance manager will provide compliance oversight of, among other things...
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